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Battelle Memorial Institute Consolidated Financial Statements as of and for the Years Ended September 30, 2016 and 2015, Schedule of Expenditures of Federal Awards for the Year Ended September 30, 2016 and Independent Auditors’ Report on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of the Financial Statements Performed in Accordance with Government Auditing Standards and Independent Auditors’ Report on Compliance for Each Major Federal Program and Report on Internal Control over Compliance Required by the Uniform Guidance

BATTELLE MEMORIAL INSTITUTE

TABLE OF CONTENTS

Page

INDEPENDENT AUDITORS’ REPORT 1–2

CONSOLIDATED FINANCIAL STATEMENTS AS OF AND FOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015:

Balance Sheets 3–4

Statements of Operations 5

Statements of Comprehensive Income (Loss) 6

Statements of Changes in Equity Balances 7

Statements of Cash Flows 8

Notes to Consolidated Financial Statements 9–42

SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS 43–63 FOR THE YEAR ENDED SEPTEMBER 30, 2016

NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS 64–65 FOR THE YEAR ENDED SEPTEMBER 30, 2016

INDEPENDENT AUDITORS’ REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS 66–67 BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS

INDEPENDENT AUDITORS’ REPORT ON COMPLIANCE FOR EACH MAJOR FEDERAL PROGRAM; REPORT ON INTERNAL CONTROL OVER COMPLIANCE; AND REPORT ON SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS REQUIRED BY THE UNIFORM GUIDANCE 68–70

SCHEDULE OF FINDINGS AND QUESTIONED COSTS FOR THE YEAR ENDED SEPTEMBER 30, 2016 71–75

INDEPENDENT AUDITORS’ REPORT

To the Board of Directors Battelle Memorial Institute and subsidiaries Columbus, Ohio

Report on the Consolidated Financial Statements

We have audited the accompanying consolidated financial statements of Battelle Memorial Institute and its subsidiaries (“Battelle”), which comprise the consolidated balance sheets as of September 30, 2016 and 2015; the related consolidated statements of operations, comprehensive income (loss), changes in equity balances, and cash flows for the years then ended; and the related notes to consolidated financial statements.

Management’s Responsibility for the Consolidated Financial Statements

Management is responsible for the preparation and fair presentation of these consolidated financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.

Auditors’ Responsibility

Our responsibility is to express an opinion on these consolidated financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the consolidated financial statements are free from material misstatement.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the consolidated financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the consolidated financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to Battelle’s preparation and fair presentation of the consolidated financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of Battelle’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements.

We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.

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Opinion

In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the consolidated financial position of Battelle as of September 30, 2016 and 2015, and the results of its operations and its cash flows for the years then ended in accordance with accounting principles generally accepted in the United States of America.

Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards, we have also issued our report dated December 19, 2016, on our consideration of Battelle’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance, and the results of that testing, and not to provide an opinion on internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering Battelle’s internal control over financial reporting and compliance.

December 19, 2016

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BATTELLE MEMORIAL INSTITUTE AND SUBSIDIARIES

CONSOLIDATED BALANCE SHEETSAS OF SEPTEMBER 30, 2016 AND 2015(In thousands)

2016 2015ASSETS

CURRENT ASSETS: Cash and cash equivalents 63,792$ 100,378$ Available-for-sale securities—current portion 1,286 1,257 Restricted cash 17,193 21,061 Accounts receivable—net 265,655 229,946 Prepayments and other current assets 31,079 29,988 Assets held for sale 11,411 16,825

Total current assets 390,416 399,455

AVAILABLE-FOR-SALE SECURITIES 429,289 383,921

OTHER INVESTMENTS: Cost investments 37,476 31,746 Equity investments 6,170 15,288

Total other investments 43,646 47,034

PROPERTY AND EQUIPMENT: Property and equipment—at cost 668,660 677,128 Less accumulated depreciation (431,932) (418,751)

Property and equipment—net 236,728 258,377

GOODWILL 24,856 27,334

OTHER INTANGIBLES AND OTHER ASSETS—Net 13,119 19,203

TOTAL 1,138,054$ 1,135,324$

(Continued)

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CONSOLIDATED BALANCE SHEETSAS OF SEPTEMBER 30, 2016 AND 2015(In thousands)

2016 2015LIABILITIES AND EQUITY

CURRENT LIABILITIES: Notes and debt payable 64,000$ 25,000$ Accounts payable 59,021 52,667 Payroll and other current benefit-related liabilities 51,593 44,948 Advance payments from clients 28,161 41,585 Accrued expenses and other liabilities 32,876 37,734

Total current liabilities 235,651 201,934

LONG-TERM NOTES AND DEBT PAYABLE 138,700 197,200

LONG-TERM BENEFIT-RELATED LIABILITIES 9,273 5,953

ACCRUED PENSION AND POSTRETIREMENT BENEFITS 327,712 329,462

OTHER 8,492 3,510

Total liabilities 719,828 738,059

EQUITY: Battelle equity: Retained for scientific and educational purposes of The Gordon Battelle Will 618,359 643,264 Accumulated other comprehensive income (loss): Net unrealized gain on available-for-sale securities 70,329 55,634 Net unrealized loss on foreign currency translation (2,522) (448) Net unrealized loss on value of interest rate swap (1,133) (3,308) Pension and postretirement benefits (274,398) (304,481)

Total Battelle equity 410,635 390,661

Noncontrolling interests 7,591 6,604

Total equity 418,226 397,265

TOTAL 1,138,054$ 1,135,324$

See notes to consolidated financial statements. (Concluded)

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CONSOLIDATED STATEMENTS OF OPERATIONSFOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015(In thousands)

2016 2015

REVENUES: Revenue from operations 4,801,753$ 4,768,617$ Royalty, license, and patent income 8,337 8,575 Other revenue 650 6,385

Total revenues 4,810,740 4,783,577

COST OF OPERATIONS: Operating costs (4,819,202) (4,795,846) Restructuring costs (10,076) (20,911) Impairment expense (3,774) (20,487)

Total cost of operations (4,833,052) (4,837,244)

DEFICIT OF TOTAL REVENUES OVER COST OF OPERATIONS (22,312) (53,667)

NONOPERATING INCOME (COSTS): Research and development expense (11,824) (11,693) Distribution expense (8,459) (7,184) Interest expense (8,709) (8,217) Investment income—net 36,594 29,419 Other—net (2,038) (10,940)

Total nonoperating income (costs) 5,564 (8,615)

LOSS BEFORE INCOME TAX EXPENSE AND NONCONTROLLING INTERESTS (16,748) (62,282)

INCOME TAX EXPENSE (2,550) (847)

NET LOSS (19,298) (63,129)

NET INCOME ATTRIBUTABLE TO NONCONTROLLING INTERESTS (5,607) (1,865)

NET LOSS ATTRIBUTABLE TO BATTELLE (24,905)$ (64,994)$

See notes to consolidated financial statements.

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CONSOLIDATED STATEMENTS OF COMPREHENSIVE INCOME (LOSS)FOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015(In thousands)

2016 2015

NET LOSS ATTRIBUTABLE TO BATTELLE (24,905)$ (64,994)$

NET INCOME ATTRIBUTABLE TO NONCONTROLLING INTERESTS 5,607 1,865

OTHER COMPREHENSIVE INCOME (LOSS): Unrealized (loss) gain on foreign currency translation (2,074) 210 Unrealized gain on value of interest rate swap 2,175 1,595 Net unrealized gain (loss) on available-for-sale securities 14,695 (32,192) Pension and postretirement benefits: Prior service cost arising during period 39,764 (47,518) Change in actuarial loss (9,681) (59,896)

Net adjustment for pension and postretirement benefits 30,083 (107,414)

Total other comprehensive income (loss) 44,879 (137,801)

COMPREHENSIVE INCOME (LOSS) 25,581$ (200,930)$


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CONSOLIDATED STATEMENTS OF CHANGES IN EQUITY BALANCESFOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015(In thousands)

Retained forScientific andEducational AccumulatedPurposes of OtherThe Will of Comprehensive Noncontrolling

Gordon Battelle Loss Interests Total

EQUITY BALANCE—September 30, 2014 708,258$ (114,802)$ 6,238$ 599,695$

Distributions to noncontrolling interests - - (7,032) (7,032)

Contributions from noncontrolling interests - - 5,533 5,533

Comprehensive (loss) income—net (64,994) (137,801) 1,865 (200,930)

EQUITY BALANCE—September 30, 2015 643,264 (252,603) 6,604 397,265

Distributions to noncontrolling interests - - (4,620) (4,620)

Contributions from noncontrolling interests - - - -

Comprehensive (loss) income—net (24,905) 44,879 5,607 25,581

EQUITY BALANCE—September 30, 2016 618,359$ (207,724)$ 7,591$ 418,226$


Battelle

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CONSOLIDATED STATEMENTS OF CASH FLOWSFOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015(In thousands)

2016 2015

CASH FLOWS FROM OPERATING ACTIVITIES: Net loss—including noncontrolling interests (19,298)$ (63,129)$ Adjustments to reconcile net loss—including noncontrolling interests to net cash provided by operating activities: Depreciation of property and equipment 32,805 38,789 Amortization of intangible assets 1,761 3,000 Gain on sales of securities—net (23,757) (22,870) Loss on other investments (945) 9,611 Loss on disposal of property and equipment 349 2,553 Restructuring costs 4,773 4,568 Impairment 6,251 20,487 Loss (gain) on closing of subsidiaries (1,363) - Deferred taxes 1,115 (447) Pension and postretirement benefits expense 28,333 6,820 Effects of changes in operating assets and liabilities: Restricted cash 3,867 (2,295) Accounts receivable (35,701) 10,090 Accounts payable 4,196 5,180 Payroll and other benefit-related liabilities 9,818 (9,279) Advance payments from clients (13,425) 6,277 Accrued expenses and other (3,879) (1,288)

Net cash (used in) provided by operating activities (5,100) 8,067

CASH FLOWS FROM INVESTING ACTIVITIES: Proceeds from disposal of property and equipment 661 61 Additions to property and equipment (16,702) (14,835) Proceeds from sales and maturities of securities 121,393 101,422 Purchase of securities (128,340) (95,904) Proceeds from sale of subsidiary 19,795 - Distributions from other investments 7,004 6,375 Acquisition payments—net of cash acquired - (2,536) Contributions to other investments and other (9,103) (10,760)

Net cash used in investing activities (5,292) (16,177)

CASH FLOWS FROM FINANCING ACTIVITIES: Proceeds of lines of credit 365,600 326,800 Payments on lines of credit (385,100) (322,800) Distributions to noncontrolling interests (4,620) (6,179) Contributions from noncontrolling interests - 5,533

Net cash (used in) provided by financing activities (24,120) 3,354

EFFECT OF EXCHANGE RATE CHANGES ON CASH AND CASH EQUIVALENTS (2,074) (298)

NET DECREASE IN CASH AND CASH EQUIVALENTS (36,586) (5,054)

CASH AND CASH EQUIVALENTS: Beginning of year 100,378 105,432

End of year 63,792$ 100,378$

SUPPLEMENTAL DISCLOSURES: Income tax payments—net of refunds 989$ 1,431$

Interest paid—net of amounts capitalized 8,628$ 8,738$

Capital additions in accounts payable 3,233$ 1,266$


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NOTES TO CONSOLIDATED FINANCIAL STATEMENTS AS OF AND FOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015 (Dollars in thousands)

1. BUSINESS OVERVIEW

Battelle Memorial Institute (“Battelle”) is a nonprofit Ohio corporation headquartered in Columbus, Ohio, with offices throughout the United States and in foreign countries. Battelle was formed in 1925 pursuant to the Will of Gordon Battelle (the “Will”) for the purposes of using technology to deliver practical solutions to the problems of government and industry and of making distributions to charitable causes. Battelle’s major source of revenue is from providing technology-based research, management, commercialization, and educational services to government and industrial clients, primarily in the United States and also in more than 15 other countries.

2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES

Basis of Presentation—The accompanying consolidated financial statements include the accounts of Battelle and its wholly owned and financially controlled subsidiaries. Battelle determines whether it has a controlling financial interest by first evaluating whether the entity is a voting interest entity or a variable interest entity (VIE). All significant intercompany balances and transactions have been eliminated in these consolidated financial statements. Although Battelle is organized as a nonprofit corporation, its business characteristics are such that it is considered to be a business enterprise for financial reporting under accounting principles generally accepted in the United States of America (US GAAP)

VIE—A VIE is an entity that lacks one or more of the characteristics of a voting interest entity. Battelle has a controlling financial interest in a VIE when the Battelle has a variable interest or interests that provide it with (i) the power to direct the activities of the VIE that most significantly impact the VIE’s economic performance and (ii) the obligation to absorb losses of the VIE or the right to receive benefits from the VIE that could potentially be significant to the VIE. If the determination is made that Battelle is the primary beneficiary, then that entity is included in the consolidated financial statements.

Voting Interest Entities—Voting interest entities are entities in which (i) the total equity investment at risk is sufficient to enable the entity to finance its activities independently and (ii) the equity holders have the power to direct the activities of the entity that most significantly impact its economic performance, the obligation to absorb the losses of the entity, and the right to receive the residual returns of the entity. The usual condition for a controlling financial interest in a voting interest entity is ownership of a majority voting interest. If Battelle has a majority voting interest in a voting interest entity, the entity is consolidated.

Equity-Method Investments—When Battelle does not have a controlling financial interest in an entity, but can exert significant influence over the entity’s operating and financial policies, the investment is accounted for either (i) under the equity method of accounting or (ii) at fair value by electing the fair value option. Significant influence generally exists when the firm owns 20% to 50% of the entity’s common stock or in-substance common stock.

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Use of Estimates—The consolidated financial statements have been prepared in conformity with US GAAP and require management to make estimates and assumptions. These estimates and assumptions affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the date of the consolidated financial statements and the reported amounts in revenues and expenses during the reporting period. These estimates and assumptions are based on experience and other information available prior to issuance of the consolidated financial statements. Actual results could differ from those estimates.

Revenue Recognition—Substantially all of the revenue is derived from services and solutions provided to the United States of America government and its agencies (collectively, the “US Government”). Revenue is generated from the following types of contractual arrangements: cost reimbursable-plus-fee contracts, time-and-materials contracts, and fixed-price contracts. Battelle begins recognizing revenue when a contract has been executed, the contract price is fixed or determinable, the services have been rendered, and collectibility of the contract price is considered probable.

Contract accounting requires significant judgment relative to assessing risks, estimating contract revenue and costs, making assumptions for schedule and technical issues, and assessing the probability of funding by the contracting agency. Due to the size and nature of many of the contracts, developing total revenue and cost at completion estimates requires the use of significant judgment. Estimates of total contract revenue and costs are monitored during the term of the contract and are subject to revision as the contract progresses. Anticipated losses on contracts are recognized in the period they are deemed probable and can be reasonably estimated.

Contract costs on US Government contracts, including indirect costs, are subject to audit by the federal government and adjustment pursuant to negotiations between Battelle and government representatives. All of Battelle’s federal contract indirect costs have been agreed upon through fiscal year 2010. Fiscal years 2011–2014 indirect cost audits are in process. Contract revenue on US Government contracts has been recorded in amounts that are expected to be realized upon final settlement. In the opinion of management, the outcome of these matters will not have a material effect on the consolidated financial position, consolidated results of operations, or cash flows.

Cost Reimbursable—Revenue on cost-reimbursable-plus-fee contracts is recognized as services are performed, generally based on the allowable costs incurred during the period, plus any recognizable earned fees. Battelle considers fees under cost-reimbursable-plus-fee contracts to be earned in proportion to the allowable costs incurred in performance of the contract. For cost-reimbursable-plus-fee contracts that include performance-based fee incentives, which are principally award fee arrangements, Battelle recognizes income when such fees are probable and estimable. Estimates of the total fees to be earned are made based on contract provisions, prior experience with similar contracts or clients, and management’s evaluation of the performance on such contracts.

Time and Material—Revenue earned under time-and-materials contracts is recognized as labor hours are worked based on contractually billable rates to the client. Direct costs on time-and-materials contracts are expensed as incurred.

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Firm Fixed Price—Revenue on fixed-price contracts is primarily recognized using the percentage-of-completion method based on actual costs incurred relative to total estimated costs for the contract. Periodically, the estimated costs are updated during the term of the contract and may result in revision of recognized revenue and estimated costs in the period in which the changes in estimated costs are identified.

Royalties, Licenses, and Patent Income—Royalties, license, and patent income are recognized when earned and collectible.

Foreign Currency Translation—The functional currency for most international subsidiaries is the local currency. Assets and liabilities are translated at rates of exchange as of year-end and income and expense items are translated at the weighted-average exchange rate for the year. Nonmonetary accounts are stated at historical exchange rates. The resulting translation adjustments are recorded as a separate component of equity.

Cash and Cash Equivalents—Cash and cash equivalents include cash on hand and highly liquid investments having an original maturity of three months or less. Cash equivalents consist primarily of institutional money market funds or other short-term investments.

Restricted Cash—Restricted cash primarily consist of money market funds or other short-term investments with an initial term of less than 90 days that are purpose restricted.

Accounts Receivable—Net—Receivables are recorded at net realizable value and they generally do not bear interest. This value includes an allowance for estimated uncollectible accounts to reflect any loss anticipated on the accounts receivable balances which is charged to the provision for doubtful accounts. The allowance is calculated based on our history of write-offs, level of past-due accounts, economic status of the customers, and other known factors concerning their current financial condition and ability to pay.

Concentrations of Credit Risk—Financial instruments that potentially subject Battelle to concentrations of credit risk consist primarily of cash equivalents and accounts receivable. Battelle’s cash equivalents are generally invested in prime or US Government money market funds, which minimizes the credit risk. Battelle believes that credit risk for accounts receivable is limited as the receivables are primarily with the US Government.

Available-for-Sale Securities—Debt and equity securities are classified as available-for-sale and are carried at fair value. Unrealized holding gains and losses, net of the related tax effect, on available-for-sale securities are excluded from net income and reported as other comprehensive income until realized. Realized gains and losses from the sale of available-for-sale securities are determined on a specific identification basis. Other-than-temporary declines in value below cost are recognized in net income. Battelle analyzes other-than-temporary impairments using criteria, including amount of unrealized loss, length of holding period, and recent performance of the security. Dividend income is recognized on the ex-dividend date. Interest income is recognized as earned.

Property and Equipment—Property and equipment are recorded at cost, including capitalized interest on construction in progress. Depreciation is calculated using the straight-line method over the estimated useful lives of the assets.

The cost of software purchased or internally developed is capitalized, as appropriate, includes external direct costs of material and services and payroll costs for employees devoting time to the software projects. These costs are amortized over a period of five or

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10 years beginning when the asset is substantially ready for use. Costs incurred during the preliminary project stage, as well as maintenance and training costs, are expensed as incurred.

Business Combinations—The accounting for business combinations consists of allocating the purchase price to tangible and intangible assets acquired and liabilities assumed based on their fair values, with the excess recorded as goodwill. Battelle has one year from the acquisition date to use additional information obtained to adjust the fair value of the acquired assets and liabilities, which may result in changes to their recorded values with an offsetting adjustment to goodwill.

Goodwill—Goodwill represents the excess of consideration transferred over the fair value of net assets of businesses acquired. Goodwill is acquired in a purchase business combination and determined to have an indefinite useful life which is not amortized, but instead tested for impairment at least annually.

Battelle assesses goodwill for impairment on at least an annual basis on June 30th, unless interim indicators of impairment exist. Goodwill is considered to be impaired when the net book value of a reporting unit exceeds its estimated fair value. The goodwill is attributed to a single operating segment and reporting unit for the purpose of evaluating goodwill.

Long-Lived Assets—Battelle reviews its long-lived assets, including property and equipment and amortizable intangible assets, for impairment whenever events or changes in circumstances indicate that the carrying amount of an asset may not be recoverable. If the total of the expected undiscounted future net cash flows is less than the carrying amount of the asset, a loss is recognized for any excess of the carrying amount over the fair value of the asset. Assets to be disposed of are reported at the lower of the carrying amount or fair value, less costs to sell.

Derivatives—Derivatives are recorded at fair value. Derivatives that are not hedges are recorded at fair value through earnings. If a derivative is a hedge, depending on the nature of the hedge, changes in the fair value of the derivative are either offset against the change in fair value of underlying assets or liabilities through earnings or recognized in other comprehensive income until the underlying hedged item is recognized in earnings. The ineffective portion of a derivative’s change in fair value is immediately recognized in earnings.

Pension and Other Postretirement Plans—Battelle has defined benefit pension and postretirement plans covering all salaried and eligible hourly employees of its corporate operations. Benefits are based on annual compensation and credited service.

Defined Benefit Pension Plan—Effective July 1, 2015, Battelle froze its pension plan benefits for those participants in the Employees’ Pension Plan of Battelle whose combination of age, plus years of pension vesting service, was less than 60 as of June 30, 2015. In addition, the plan is closed to new entrants. This resulted in a plan curtailment. The affected employees received an additional 5% employer contribution in the defined contribution plan beginning July 1, 2015, due to this change. The plan also offered a limited lump-sum payment to prior terminated vested employees. Those that elected lump-sum payments were paid in July 2015, resulting in a settlement. During 2015, Battelle offered a voluntary retirement option to a group of eligible participants meeting certain criteria. As this was a voluntary plan, all severance benefits offered under this plan were considered special termination benefits. See Note 19 for further information.

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The cost of operations also included pension and other postretirement expenses of $150,670 and $145,473 for the years ended September 30, 2016 and 2015, respectively, related to the government-owned, contractor-operated labs. The pension liabilities associated with these plans contractually are not those of Battelle or its subsidiaries. Accordingly, those plans are not included in Note 19.

Defined Contribution Plans—The Battelle Employees’ Savings Plan, for the Battelle Columbus operations, prescribes that employer-matching contributions are made at 50% of each individual employee’s contribution, with a maximum match of up to 3% of the employee’s salary, subject to other limitations specified in the plan through June 30, 2015. Beginning July 1, 2015, the employees no longer participating in the defined benefit pension plan receive an additional nonmatching 5% of salary by the employer. Employer contributions expense related to the Battelle Columbus employees in this plan amounted to $16,141 and $7,895 in 2016 and 2015, respectively.

The Battelle Employees’ Savings Plan, for the Battelle Pacific Northwest Division (PNNL), prescribes that employer-matching contributions are made at 50% of each individual employee’s contribution, with a maximum match of up to 3.5% of the employee’s salary, subject to other limitations specified in the plan. Employer contribution expense related to the Battelle PNNL employees in the plan amounted to $10,102 and $10,533 in 2016 and 2015, respectively.

Distributions—Commitments for unconditionally pledged charitable distributions are accrued when made.

Income Taxes—The Internal Revenue Service has previously determined that Battelle is exempt from federal income taxes under Internal Revenue Code Section 501(c)(3), except for income arising from unrelated business activities. Certain Battelle subsidiaries file individually as taxable legal entities. Accordingly, the accompanying consolidated financial statements include tax provisions for consolidated subsidiaries and for certain federal, state, local, and foreign taxes. Other subsidiaries, including Brookhaven Science Associates, LLC, UT-Battelle, LLC, and Battelle Ventures, L.P., are treated as partnerships for federal income tax purposes. Accordingly, profits and losses are passed directly to partners for inclusion in their income tax returns.

For Battelle’s taxable subsidiaries or nonexempt state, local, and foreign jurisdictions, income taxes are accounted for under the asset-and-liability method. Deferred tax assets and liabilities are recognized for the future tax consequences attributable to temporary differences between consolidated financial statement carrying amounts of existing assets and liabilities and their respective tax bases and operating loss and tax credit carryforwards. Deferred tax assets and liabilities are measured using enacted tax rates expected to apply to taxable income in the years in which those temporary differences are expected to be recovered or settled. The effect on deferred tax assets and liabilities of a change in tax rates is recognized in income in the period that includes the enactment date.

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Other Comprehensive Income (Loss)—Comprehensive income (loss) comprises unrealized gain on available-for-sale securities, unrealized (loss) gain on foreign currency translation, unrealized gain on value of interest rate swap, and gain (loss) on pension and postretirement benefits. A summary of accumulated balances as of September 30, 2016 and 2015, was as follows:

Unrealized AccumulatedGain on Foreign Value of Pension and Other

Available-for- Currency Interest Rate Postretirement ComprehensiveSale Securities Translation Swap Benefits Income (Loss)

September 30, 2014 87,826$ (658)$ (4,903)$ (197,067)$ (114,802)$

Other comprehensive income before reclassification (21,946) - 3,712 (124,800) (143,034) Amounts reclassified from accumulated other comprehensive income (10,246) 210 (2,117) 17,386 5,233

Current-period change (32,192) 210 1,595 (107,414) (137,801)

September 30, 2015 55,634 (448) (3,308) (304,481) (252,603)

Other comprehensive income before reclassification 38,452 - 4,221 16,970 59,643 Amounts reclassified from accumulated other comprehensive income (23,757) (2,074) (2,046) 13,113 (14,764)

Current-period change 14,695 (2,074) 2,175 30,083 44,879

September 30, 2016 70,329$ (2,522)$ (1,133)$ (274,398)$ (207,724)$

Recently Issued Accounting Standards Update (ASU)

ASU No. 2014-03—In January 2014, the Financial Accounting Standards Board (FASB) issued ASU No. 2014-03, Derivatives and Hedging (Topic 825): Accounting for Certain Receive-Variable, Pay-Fixed Interest Rate Swaps—Simplified Hedge Accounting Approach. The amendments in this update provide an accounting alternative which allow for the use of the simplified hedge accounting approach to account for swaps that are entered into for the purpose of economically converting a variable-rate borrowing into a fixed-rate borrowing. The simplified hedge accounting approach, if elected, should be applied retrospectively to certain types of swaps using either a modified retrospective approach or a full retrospective approach, in annual periods beginning after December 15, 2014. Early application is permitted for any period in which the entity’s consolidated financial statements have not been issued. Battelle elected not to follow this option.

ASU No. 2014-08—In April 2014, the FASB issued ASU No. 2014-08, Presentation of Financial Statements (Topic 205) and Property, Plant, and Equipment (Topic 360): Reporting Discontinued Operations and Disclosures of Disposals of Components of an Entity. The amendments in this update change the requirements for reporting discontinued operations, as well as requiring new disclosure about discontinued operations and disposals of components of an entity that do not qualify for discontinued operations reporting. This guidance is effective for all disposals of components of Battelle that occur within annual periods beginning on or after December 15, 2015. Early application is permitted. Battelle elected not to early adopt this option.

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ASU No. 2014-09—In May 2014, the FASB issued ASU No. 2014-09, Revenue from Contracts with Customers (Topic 606). The issued guidance converges the criteria for reporting revenue, as well as requiring disclosures sufficient to describe the nature, amount, timing, and uncertainty of revenue and cash flows arising from these contracts. Companies can transition to the standard either retrospectively or as a cumulative effect adjustment as of the date of adoption. ASU No. 2015-14, Revenue from Contracts with Customers (Topic 606): Deferral of the Effective Date (“ASU 2015-14”), deferred the effective date for one year until fiscal years beginning after December 15, 2018. There have been other pronouncements to clarify ASU 2015-14. They are specifically: ASU No. 2016-08, Revenue from Contracts with Customers (Topic 606): Principal versus Agent Considerations (Reporting Revenue Gross versus Net); ASU No. 2016-10, Revenue from Contracts with Customers (Topic 606): Identifying Performance Obligations and Licensing; and ASU No. 2016-12, Revenue from Contracts with Customers (Topic 606): Narrow-Scope Improvements and Practical Expedients. Battelle is evaluating the impact of these updates on its consolidated financial statements and disclosures.

ASU No. 2014-15—In August 2014, the FASB issued ASU No. 2014-15, Presentation of Financial Statements—Going Concern (Subtopic 205-40): Disclosure of Uncertainties about an Entity’s Ability to Continue as a Going Concern (“ASU 2014-15”). The pronouncement requires our management to evaluate whether there is substantial doubt about our ability to continue as a going concern. The pronouncement is effective for the annual period ending after December 15, 2016, and for annual periods and interim periods thereafter. Early adoption is permitted. The adoption of ASU 2014-15 is not expected to have a material effect on the consolidated balance sheets or consolidated statements of operations.

ASU No. 2015-02—In February 2015, the FASB issued ASU No. 2015-02, Consolidation (Topic 810): Amendments to the Consolidation Analysis (“ASU 2015-02”). ASU 2015-02 provides amendments to Accounting Standards Codification (ASC) No. 810, Consolidation, which include the following: 1. Modify the evaluation of whether limited partnerships and similar legal entities are VIEs or voting interest entities, 2. Eliminate the presumption that a general partner should consolidate a limited partnership, 3. Affect the consolidation analysis of reporting entities that are involved with VIEs, and 4. Provide a scope exception from consolidation guidance for reporting entities with interests in legal entities that are required to comply with or operate in accordance with requirements that are similar to those in Rule 2a-7 of the Investment Company Act of 1940 for registered money market funds. The update is effective annual periods beginning after December 15, 2016, with early adoption permitted, and may be applied retrospectively or using a modified retrospective approach by recording a cumulative-effect adjustment to equity as of the beginning of the fiscal year of adoption. Battelle is currently assessing the impact of the adoption of this update on the consolidated financial statements and disclosures.

ASU No. 2015-04—In April 2015, FASB issued ASU No. 2015-04, Compensation—Retirement Benefits (Topic 715): Practical Expedient for the Measurement Date of an Employer’s Defined Benefit Obligation and Plan Assets, permits the entity to measure defined benefit plan assets and obligations using the month-end that is closest to the entity’s fiscal year end and apply that practical expedient consistently from year to year. This update is effective for consolidated financial statements issued for fiscal years beginning after December 15, 2016. Early application is permitted. Battelle is currently reviewing the provisions of this ASU to determine if there will be any impact on the consolidated financial statements and disclosures.

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ASU No. 2015-07—In May 2015, FASB issued ASU No. 2015-07, Fair Value Measurement (Topic 820): Disclosures for Investments in Certain Entities That Calculate Net Asset Value per Share (or Its Equivalent). Currently, investments valued using the practical expedient are categorized within the fair value hierarchy. There is diversity in how certain investments measured at net asset value with future redemption dates should be categorized within the fair value hierarchy which this update addresses. If an investment has its fair value measured at net asset value per share (or its equivalent) using the practical expedient, it should not be categorized in the fair value hierarchy. Removing these types of investments from the fair value hierarchy chart eliminates the diversity in classification of these investments and ensures that all investments categorized in the fair value hierarchy are classified consistently. Investments that calculate net asset value per share (or its equivalent) without the use of the practical expedient will continue to be included in the fair value hierarchy. The update will be effective for annual periods, beginning after December 15, 2016, with early adoption permitted. Battelle is currently in the process of evaluating the impact of the adoption on the consolidated financial statements and disclosures.

ASU No. 2015-17—In November 2015, FASB issued ASU No. 2015-17, Income Taxes (Topic 740): Balance Sheet Classification of Deferred Taxes, to simplify the presentation of deferred income taxes. The amendments in this update require that deferred income tax liabilities and assets be classified as noncurrent in a classified statement of financial position. This ASU is effective for consolidated financial statements issued for fiscal years beginning after December 15, 2017, and interim periods within those fiscal years. Early application is permitted. Battelle is currently reviewing the provisions of this ASU to determine if there will be any impact on the consolidated financial statements.

ASU No. 2016-01—In January 2016, FASB issued ASU No. 2016-01, Financial Instruments—Overall (Subtopic 825-10): Recognition and Measurement of Financial Assets and Financial Liabilities. This ASU requires all equity investments to be measured at fair value with changes in the fair value recognized through net income (other than those accounted for under equity method of accounting or those that result in consolidation of the investee).

This ASU also requires an entity to present separately in other comprehensive income the portion of the total change in the fair value of a liability resulting from a change in the instrument-specific credit risk when the entity has elected to measure the liability at fair value in accordance with the fair value option for financial instruments. In addition, the amendments in this ASU eliminate the requirement to disclose the fair value of financial instruments measured at amortized cost for entities that are not public business entities and the requirement for to disclose the method(s) and significant assumptions used to estimate the fair value that is required to be disclosed for financial instruments measured at amortized cost in the consolidated balance sheets for public business entities. Battelle early adopted certain provisions under the ASU. As for the remaining provisions, Battelle is assessing what effect the adoption of this update may have on the consolidated financial statements.

ASU No. 2016-02—In February 2016, FASB issued ASU No. 2016-02, Leases (Topic 842) (“ASU 2016-02”), to increase transparency and comparability of accounting for lease transactions. The new standard requires lessees to recognize lease assets and lease liabilities in their consolidated balance sheets for all leases with a lease term of greater than 12 months. ASU 2016-02 is effective for fiscal years beginning after December 15, 2018, with early adoption permitted. Battelle is assessing what effect the adoption of this update may have on the consolidated financial statements.

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ASU No. 2016-07—In March 2016, FASB issued ASU No. 2016-07, Investments—Equity Method and Joint Ventures (Topic 323): Simplifying the Transition to the Equity Method of Accounting, to simplify the accounting for equity-method investments. The amendments in the update eliminate the requirement in Topic 323 that an entity retroactively adopt the equity method of accounting if an investment qualifies for use of the equity method as a result of an increase in the level of ownership or degree of influence. The amendments require that the equity-method investor add the cost of acquiring the additional interest in the investee to the current basis of the investor’s previously held interest and adopt the equity method of accounting as of the date the investment becomes qualified for equity-method accounting. Battelle is assessing what effect the adoption of this standard may have on the consolidated financial statements.

ASU No. 2016-13—In June 2016, FASB issued ASU No. 2016-13, Financial Instruments—Credit Losses (Topic 326): Measurement of Credit Losses on Financial Instruments, for available-for-sale debt securities. Credit losses should be measured in a manner similar to current US GAAP, however, Topic 326 will require that credit losses be presented as an allowance rather than as a write-down. Battelle is assessing what effect the adoption of this update may have on the consolidated financial statements.

ASU No. 2016-15—In August 2016, FASB issued ASU No. 2016-15, Statement of Cash Flows (Topic 230): Classification of Certain Cash Receipts and Cash Payments (“ASU 2016-15”). ASU 2016-15 addresses the following eight specific cash flow issues: Debt prepayment or debt extinguishment costs, settlement of zero-coupon debt instruments or other debt instruments with coupon interest rates that are insignificant in relation to the effective interest rate of the borrowing, contingent consideration payments made after a business combination, proceeds from the settlement of insurance claims, proceeds from the settlement of corporate-owned life insurance policies (including bank-owned life insurance policies), distributions received from equity-method investees, beneficial interests in securitization transactions, and separately identifiable cash flows and application of the predominance principle. Battelle is assessing what effect the adoption of this update may have on the consolidated financial statements.

ASU No. 2016-18—In November 2016, FASB issued ASU No. 2016-18, Statement of Cash Flows (Topic 230): Restricted Cash. This ASU requires that a consolidated statement of cash flows explain the change during the period in the total of cash, cash equivalents, and amounts generally described as restricted cash or restricted cash equivalents. Therefore, amounts generally described as restricted cash and restricted cash equivalents should be included with cash and cash equivalents when reconciling the beginning-of-period and end-of-period total amounts shown in the consolidated statements of cash flows. Battelle is assessing what effect the adoption of this update may have on the consolidated financial statements.

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3. ACCOUNT RECEIVABLES—NET

A summary of account receivables as of September 30, 2016 and 2015, was as follows:

2016 2015

Government (primarily US Government): Billed 66,954$ 61,110$ Unbilled 164,085 129,737

231,039 190,847

Commercial: Billed 21,422 26,291 Unbilled 15,592 17,749

37,014 44,040

Other 4,343 1,591

Total accounts receivable 272,396 236,478

Less provision for doubtful accounts (6,741) (6,532)

Accounts receivable—net 265,655$ 229,946$

Unbilled amounts represent revenues for which billings have not been presented to customers at year-end. These amounts are usually billed and collected within one year.

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4. AVAILABLE-FOR-SALE SECURITIES

Available-for-sale securities as of September 30, 2016 and 2015, were as follows:

Gross GrossAmortized Unrealized Unrealized Fair

2016 Cost Gains Losses Value

Equity securities 221,181$ 76,963$ (3,008)$ 295,136$ US corporate debt securities: Maturing within one year 1,239 46 (27) 1,258 Maturing between one and five years 12,562 467 (110) 12,919 Maturing between 5 and 10 years 9,077 444 (18) 9,503 Maturing beyond 10 years 8,283 857 (123) 9,017 US Government agency debt securities: Maturing within one year - Maturing between one and five years 21,012 1,709 (7) 22,714 Maturing between 5 and 10 years 8,586 791 - 9,377 Maturing beyond 10 years 9,180 1,245 (13) 10,412 Mortgage-backed securities: Maturing within one year 28 - - 28 Maturing between one and five years 14,113 340 (79) 14,374 Maturing between 5 and 10 years 9,905 339 (14) 10,230 Maturing beyond 10 years 34,555 1,819 (767) 35,607

Total available-for-sale securities 349,721 85,020 (4,166) 430,575

Less current portion 1,267 46 (27) 1,286

Total available-for-sale securities—less current portion 348,454$ 84,974$ (4,139)$ 429,289$

Gross GrossAmortized Unrealized Unrealized Fair

2015 Cost Gains Losses Value

Equity securities 195,369$ 71,357$ (9,280)$ 257,446$ US corporate debt securities: Maturing within one year 1,230 21 (28) 1,223 Maturing between one and five years 11,157 542 (155) 11,544 Maturing between 5 and 10 years 7,912 153 (179) 7,886 Maturing beyond 10 years 7,777 375 (422) 7,730 US Government agency debt securities: Maturing within one year 32 - - 32 Maturing between one and five years 15,035 1,050 (5) 16,080 Maturing between 5 and 10 years 13,777 605 (12) 14,370 Maturing beyond 10 years 5,352 338 (35) 5,655 Mortgage-backed securities: Maturing within one year 2 - - 2 Maturing between one and five years 9,326 114 (85) 9,355 Maturing between 5 and 10 years 13,683 415 (47) 14,051 Maturing beyond 10 years 38,889 1,931 (1,016) 39,804

Total available-for-sale securities 319,541 76,901 (11,264) 385,178

Less current portion 1,264 21 (28) 1,257

Total available-for-sale securities—less current portion 318,277$ 76,880$ (11,236)$ 383,921$

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Proceeds from the sale and maturities of available-for-sale securities were $121,393 and $101,422 in 2016 and 2015, respectively. The gross realized gains included in investment income—net were $43,725 and $52,907 in 2016 and 2015, respectively, and the gross realized losses included in investment income—net were $19,968 and $29,506 in 2016 and 2015, respectively. The gross realized losses, which are included in investment income—net, include the decline in the value of certain available-for-sale securities deemed to be other than temporary, which result in a write-down of $0 and $684 in 2016 and 2015, respectively, to fair value. These impairments were recorded in investment income—net.

Battelle received approval of tax exemption under Internal Revenue Code Section 501(c)(3), effective May 9, 2001. At that time, the unrealized gain on available-for-sale securities was recorded net of tax in accumulated other comprehensive income. Due to the change in tax status, Battelle eliminated the deferred taxes associated with the unrealized gain. The impact of deferred taxes, included in accumulated other comprehensive income, will be recognized as a component of investment income when the portfolio is sold.

Battelle’s available-for-sale securities’ gross unrealized losses and fair value, aggregated by investment category and length of time that individual securities have been in continuous unrealized loss positions, as of September 30, 2016 and 2015, were as follows:

Less than 12 Months 12 Months or Longer TotalFair Unrealized Fair Unrealized Fair Unrealized

2016 Value Losses Value Losses Value Losses

Equity securities 12,366$ (672)$ 29,426$ (2,336)$ 41,792$ (3,008)$ US corporate debt securities: Maturing within one year - - 304 (27) 304 (27) Maturing between one and five years 553 (3) 2,050 (107) 2,603 (110) Maturing between 5 and 10 years 985 (8) 568 (10) 1,553 (18) Maturing beyond 10 years 740 (11) 1,153 (111) 1,893 (122) US Government agency debt securities: Maturing within one year - - - - - - Maturing between one and five years 566 (2) 32 (5) 598 (7) Maturing between 5 and 10 years - - - - - - Maturing beyond 10 years 710 (13) 31 - 741 (13) Mortgage-backed securities: Maturing within one year - - 8 - 8 - Maturing between one and five years 168 (1) 2,537 (79) 2,705 (80) Maturing between 5 and 10 years 134 (1) 631 (14) 765 (15) Maturing beyond 10 years 792 (1) 6,997 (765) 7,789 (766)

Total 17,014$ (712)$ 43,737$ (3,454)$ 60,751$ (4,166)$

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Less than 12 Months 12 Months or Longer TotalFair Unrealized Fair Unrealized Fair Unrealized

2015 Value Losses Value Losses Value Losses

Equity securities 36,089$ (5,626)$ 23,508$ (3,654)$ 59,597$ (9,280)$ US corporate debt securities: Maturing within one year - - 342 (28) 342 (28) Maturing between one and five years 1,275 (15) 2,369 (140) 3,644 (155) Maturing between 5 and 10 years 1,857 (64) 1,781 (115) 3,638 (179) Maturing beyond 10 years 2,430 (211) 1,731 (211) 4,161 (422) US Government agency debt securities: Maturing within one year 32 - - - 32 - Maturing between one and five years - - 1,088 (5) 1,088 (5) Maturing between 5 and 10 years 199 (2) 2,031 (10) 2,230 (12) Maturing beyond 10 years 352 (17) 879 (18) 1,231 (35) Mortgage-backed securities: Maturing within one year - - 2 - 2 - Maturing between one and five years 2,570 (2) 1,609 (83) 4,179 (85) Maturing between 5 and 10 years 1,325 (1) 2,742 (46) 4,067 (47) Maturing beyond 10 years 4,902 (23) 8,569 (993) 13,471 (1,016)

Total 51,031$ (5,961)$ 46,651$ (5,303)$ 97,682$ (11,264)$

Unrealized losses related to equity securities as of September 30, 2016 and 2015, are a result of fluctuations in the market value of equity securities and not symptomatic of a long-term decline in value of the equity securities. In accordance with the criteria established in Note 2 and reviews of analysts’ market price projections, the securities are believed to be only temporarily impaired.

5. OTHER INVESTMENTS

Battelle holds investments in limited partnerships, private equity, and other investments. Because these investments are not readily marketable; the estimated value is subject to uncertainty, and, therefore, may differ from the value that would have been used had a ready market for the investments existed; and such differences could be material. The amount of gain or loss associated with these investments is reflected in the accompanying consolidated financial statements using the cost, equity, or consolidated method of accounting, whichever is applicable. Effective August 31, 2011, the board of directors of Battelle has approved investment guidelines that provide for up to 10% of the total investment portfolio to be invested in commercial venture funds and/or private equity.

Privately Managed Equity Funds—As of September 30, 2016 and 2015, Battelle has committed $62,000 and $42,000, respectively, to four privately managed equity funds and the total capital called was $33,876 and $27,467, respectively.

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Venture Funds—Battelle has committed approximately $29,750 and $38,156 through September 30, 2016 and 2015, respectively, to the venture funds. The capital structures of these venture funds that Battelle has invested in are primarily limited liability entities. Investment in venture funds is consistent with Battelle’s overall commercialization strategy. As of September 30, 2016 and 2015, total capital called by the various venture funds was $23,600 and $32,998, respectively.

Battelle Ventures, L.P.—In 2003, Battelle formed Battelle Ventures, L.P. to further promote Battelle’s strategy of establishing new technology commercialization ventures. Battelle had a 99.5% interest in the entity which it consolidates. In 2016, Battelle terminated the partnership agreement for an aggregate termination cost of $2,813. Subsequently, the assets of Battelle Ventures, L.P. were distributed to all of the partners with no further obligations. Battelle recorded $6,952 of assets that primarily comprised of other investments.

6. FAIR VALUE OF FINANCIAL INSTRUMENTS

ASC 820, Fair Value Measurement, defines fair value and establishes a framework for measuring fair value. The fair value framework requires the categorization of assets and liabilities into three levels based upon the assumptions (inputs) used to price the assets or liabilities. The three levels are defined as follows:

Level 1—Unadjusted quoted prices in active markets for identical assets and liabilities.

Level 2—Observable inputs other than those included in Level 1. For example, quoted prices for similar assets or liabilities in active markets or quoted prices for identical assets or liabilities in inactive markets.

Level 3—Unobservable inputs reflecting management’s own assumptions about the inputs used in pricing the asset or liability.

Asset Valuation Techniques—The following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used as of September 30, 2016 and 2015.

Cash and Cash Equivalents and Restricted Cash—Valued at cost.

Securities Held for Sale—Valued based on valuations provided by a third party who uses an external pricing service to estimate the fair value of the underlying available-for-sale investments. Battelle’s investment managers review and validate the prices utilized by the third party to determine fair value. Battelle receives audit reports of the brokers operating controls and valuation process. The broker uses multiple pricing vendors for the investments available for sale. Some of these securities are held at net asset value.

Interest Rate Swaps—Valued by a third party based on cash flows and prevailing interest rates. Battelle reviews and validates the information provided by the third party, taking into account the counterparties’ creditworthiness.

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As of September 30, 2016, the fair values of financial assets and liabilities measured on a recurring basis were categorized as follows:

2016 Level 1 Level 2 Total

Cash and cash equivalents (1) 63,792$ - $ 63,792$

Restricted cash (2) 17,193 - 17,193

Available-for-sale securities: US Government securities— Government bonds - 42,705 42,705

Total US Government securities - 42,705 42,705

Corporate stock: Consumer discretionary 28,992 - 28,992 Consumer staples 19,316 - 19,316 Energy 14,614 - 14,614 Financials 30,488 - 30,488 Health care 31,955 - 31,955 Industrials 26,474 - 26,474 Information technology 48,425 - 48,425 Telecommunication 4,902 - 4,902 Materials 7,173 - 7,173 Utilities 6,680 - 6,680 Other 7,426 - 7,426

Total corporate stock 226,445 - 226,445

Common/collective trust 8,438 60,253 68,691

Corporate debt instruments—other: Asset-backed securities - 59,876 59,876 Municipal bonds - 161 161 Corporate bonds - 32,697 32,697

Total corporate debt instruments—other - 92,734 92,734

Total securities available for sale 234,883 195,692 430,575

Total assets 315,868$ 195,692$ 511,560$

Interest rate swap contract - $ 1,133$ 1,133$

Total liabilities - $ 1,133$ 1,133$

(1) Cash and cash equivalents are either liquid or highly liquid investments with a maturity of three months or less. The carrying value of these cash equivalents approximates fair value due to their short-term maturities.

(2) Restricted cash is primarily money market funds or other short-term investments with a maturity of three months or less. The carrying value of these cash equivalents approximates fair value due to their short-term maturities.

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As of September 30, 2015, the fair values of financial assets and liabilities measured on a recurring basis were categorized as follows:

2015 Level 1 Level 2 Total

Cash and cash equivalents (1) 100,378$ - $ 100,378$

Restricted cash (2) 21,061 - 21,061

Available-for-sale securities: US Government securities— Government bonds - 35,997 35,997

Total US Government securities - 35,997 35,997

Corporate stock: Consumer discretionary 28,167 - 28,167 Consumer staples 19,364 - 19,364 Energy 11,368 - 11,368 Financials 31,601 - 31,601 Health care 28,942 - 28,942 Industrials 24,078 - 24,078 Information technology 42,411 - 42,411 Telecommunication 4,515 - 4,515 Materials 6,810 - 6,810 Utilities 6,096 - 6,096 Other 5,424 - 5,424

Total corporate stock 208,776 - 208,776

Common/collective trust 8,646 40,024 48,670

Corporate debt instruments—other: Asset-backed securities - 63,212 63,212 Municipal bonds - 140 140 Corporate bonds - 28,383 28,383

Total corporate debt instruments—other - 91,735 91,735

Total securities available for sale 217,422 167,756 385,178

Total assets 338,861$ 167,756$ 506,617$

Interest rate swap contract - $ 3,308$ 3,308$

Total liabilities - $ 3,308$ 3,308$

(1) Cash and cash equivalents are either liquid or highly liquid investments with a maturity of three months or less. The carrying value of these cash equivalents approximates fair value due to their short-term maturities.

(2) Restricted cash is primarily money market funds or other short-term investments with a maturity of three months or less. The carrying value of these cash equivalents approximates fair value due to their short-term maturities.

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During 2016 and 2015, Battelle impaired to fair market value of investments classified as other investments based on Level 3 observations. The impairments of $1,167 and $3,875 for years ended September 30, 2016 and 2015, respectively, were recorded in investment income—net. In Note 16, an additional two other investments classified were impaired and recorded in restructuring costs.

As of September 30, 2016 and 2015, the fair values of financial assets and liabilities measured on a nonrecurring basis included primarily assets and liabilities as a result of impairment asset reviews. See Notes 8 and 9 for description of assets and liabilities, the amounts, basis of valuation, and leveling. During 2016 and 2015, there were no transfers of financial assets or liabilities between Level 1, Level 2, or Level 3 assets and liabilities.

7. PROPERTY AND EQUIPMENT AND LEASE COMMITMENTS

A summary of property and equipment as of September 30, 2016 and 2015, was as follows:

Useful Life(Years) 2016 2015

Land and improvements 13,665$ 13,665$ Buildings and improvements 10–40 478,739 472,849 Furniture and equipment 2–40 103,534 109,621 Software 5–10 66,275 67,682 Construction in progress 6,447 13,311

Total 668,660$ 677,128$

Depreciation and amortization expense relating to property and equipment for 2016 and 2015 was $32,804 and $38,789, respectively. Impairment charges of $2,606 and $20,487 were recognized during the years ended September 30, 2016 and 2015, respectively.

Lease Commitments—Battelle leases facility space and equipment under noncancelable operating leases that expire at various dates through 2024. The terms for the facility leases generally provide for rental payments on a graduated scale, which are recognized on a straight-line basis over the terms of the leases, including reasonably assured renewal periods, from the time Battelle controls the leased property. Lease expense was $11,852 and $14,012 in 2016 and 2015, respectively. Future minimum operating lease payments for noncancelable operating leases as of September 30, 2016, were as follows:

Years EndingSeptember 30 Total

2017 8,778$ 2018 7,069 2019 4,042 2020 2,185 2021 1,832 Thereafter 4,027

Total 27,933$

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Rent expense is recorded on a straight-line basis over the life of the respective lease. The difference between the cash payment and rent expense is recorded as deferred rent in other accrued expenses or other long-term liabilities in the consolidated balance sheets depending on when the amounts will be recognized.

Environmental Remediation—Battelle conducts a certain amount of radiological work as part of its ongoing operations. This activity is monitored and regulated by a number of regulatory authorities. Battelle has no intent at the current time to cease this activity. However, in the event that Battelle ceases this activity, Battelle may need to perform certain decontamination actions. Any costs involved in such decontamination would be allowable for contract reimbursement purposes in the period they are expended.

8. ASSETS HELD FOR SALE

Land and Facilities—Battelle determined that several long-lived assets, primarily land and several facilities were identified as held for sale as part of a longer-term plan in regards to its physical footprint of Battelle. As a result, Battelle performed an assessment of those assets’ carrying value versus the fair value. In 2015, the net book value of property and related facilities of $7,790 were recorded at fair value as assets held for sale. In 2016, additional assets held for sale of $3,621 were recorded. The fair market value of the assets held for sale, measured on a nonrecurring basis, was determined based on an in-exchange value using Level 3 inputs. No gain or loss was recorded. Discontinued operations are not applicable for these assets.

Bluefin Robotics Corporation—In February 2016, Battelle entered into a sales and purchase agreement for the sale of Bluefin Robotics Corporation (“Bluefin”) for a total sales price of $19,795. As a result of the sale, Battelle recognized a loss of $1,300.

The amounts included in the consolidated statements of operations related to the discontinued operations of Bluefin for the years ended September 30, 2016 and 2015, including the impairment of $11,048 in 2015, was:

2016 2015

Discontinued operations— Loss from operations of discontinued operations 1,333$ 29,943$ Income tax expense - 3

Loss on discontinued operations 1,333$ 29,946$

9. ASSET IMPAIRMENTS

During 2016 and 2015, several equipment assets and intangibles were determined to be appraised at lower values than their carrying amounts. A review of the fair market values, measured on a nonrecurring basis, of the assets was undertaken that resulted in a total impairment loss of $2,606 and $13,037 for 2016 and 2015, respectively, in impairment expense. The fair market basis was determined based on an in-exchange value using Level 3 inputs.

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10. BUSINESS COMBINATIONS

On April 8, 2016, Battelle acquired control over the National Ecological Observatory Network, Inc. (NEON), a nonprofit entity as sole member of the board of directors. Battelle was awarded a cooperative agreement by the National Science Foundation (NSF) for the transition and completion of the construction and initial operations of NEON. The contract is expected to be executed through 2018. Upon completing the current construction and initial operations projects, the NSF is expected to go through a bidding process for the full operation of NEON in 2019. There is no guarantee that Battelle will be awarded the contract.

11. GOODWILL AND OTHER INTANGIBLES

Battelle’s goodwill was $24,856 and $27,334 as of September 30, 2016 and 2015, respectively. During the years ended September 30, 2016 and 2015, Battelle recorded impairment of goodwill of $2,478 and $5,353, respectively.

The Company performed an annual impairment test of goodwill as of June 30, 2016, and did not identify any other impairment. Battelle’s significant intangible assets as of September 30, 2016 and 2015, were composed of the following:

2016 Weighted-Average Gross Net

Amortization Carrying Accumulated CarryingIntangible Assets Period Amount Amortization Amount

Customer relationships 15 6,100$ 1,220$ 4,880$ Developed technology 5 4,000 2,400 1,600 Other 7 1,410 780 630

Total 11,510$ 4,400$ 7,110$

2015 Weighted-Average Gross Net

Amortization Carrying Accumulated CarryingIntangible Assets Period Amount Amortization Amount

Customer relationships 15 6,100$ 813$ 5,287$ Developed technology 5 4,000 1,600 2,400 Other 7 1,410 690 720

Total 11,510$ 3,103$ 8,407$

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The estimated intangible asset amortization expense for the five succeeding fiscal years ended after September 30, 2016, is as follows:

Years EndingSeptember 30

2017 1,297$ 2018 1,297 2019 497 2020 497 2021 497 Thereafter 3,025

Total 7,110$

12. NOTES AND DEBT PAYABLE

A summary of notes and debt payable as of September 30, 2016 and 2015, was as follows:

2016 2015Interest Outstanding Interest Outstanding

Rate Balance Rate Balance

Line of Credit A 1.19 % 28,700$ 0.84 % 42,200$ Line of Credit B 1.13 19,000 0.79 25,000 Line of Credit C 1.25 - 0.89 - Term Loan A 3.26 40,000 3.26 40,000 Term Loan B 3.70 20,000 3.70 20,000 Term Loan C 1.27 45,000 0.95 45,000 Term Loan D 6.75 50,000 6.75 50,000

Total 202,700 222,200

Less current portion of long-term debt (64,000) (25,000)

Long-term debt—net of current portion 138,700$ 197,200$

Lines of Credit—Battelle occasionally borrows under three lines of credit in anticipation of cash demands. Under the three lines of credit, Battelle can borrow up to a total of $180,000. The Lines of Credit A, B, and C are due June 30, 2018, February 28, 2017, and June 30, 2019, respectively. As of September 30, 2016 and 2015, the total availability from all of the lines of credit was $131,476 and $111,944, respectively. The lines of credit are unsecured; however, Battelle is required to maintain, at all times, a certain financial ratio.

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Term Loans—Term Loans A, B, and D, as amended, bear a fixed interest rate which is payable semiannually and are due April 13, 2022, April 25, 2024, and August 5, 2019, respectively. Term Loan C, as amended, bears a variable interest rate based on London InterBank Offered Rate (LIBOR), plus 75 bps, which is payable monthly, and due April 18, 2017.

The following table summarizes required future debt principal payments by September 30:

2017 64,000$ 2018 28,700 2019 50,000 2020 - 2021 - Thereafter 60,000

Total 202,700$

The notes payable agreements include various financial and other covenants, including cross defaults, none of which are expected to restrict future operations. At September 30, 2015, Battelle was not in compliance with its debt ratio covenant. However, Battelle received agreed-upon amendments resulting in compliance with all debt covenants at September 30, 2015.

13. DERIVATIVE FINANCIAL INSTRUMENTS

Battelle entered into a derivative instrument to manage fluctuations in future cash flows related to forecasted transactions on payments of notes payable. Battelle entered into an interest rate swap to manage fluctuations in cash flows resulting from changes in the benchmark interest rate of LIBOR. The swap has a $45,000 notional amount and expires on April 17, 2017. The interest rate swap changes the variable-rate cash flows on $45,000 of the term note, due April 18, 2017, payable to fixed-rate cash flows. Under the interest rate swap, Battelle receives LIBOR-based variable interest rate payments and makes fixed interest rate payments, thereby creating a fixed-rate term notes payable of 5.23%. The interest rate swap is assessed as effective based on the fact that there was no source of ineffectiveness. The effectiveness of the hedge relationship will be annually assessed during the life of the hedge. Changes in the fair value of the swap are reported in accumulated other comprehensive income (loss). These amounts subsequently are reclassified into interest expense as a yield adjustment in the same period in which the related interest on the floating-rate notes payable affects earnings.

The fair value of the interest rate swap was approximately $(1,134) and $(3,308) as of September 30, 2016 and 2015, respectively, classified as “other” in the consolidated balance sheets. In determining fair value, Battelle uses a market analysis approach, which consists primarily of Level 2 inputs. The analysis is based on a number of factors, including the mark-to-market price of the swap and the bond yields of companies with similar debt ratings.

Battelle recognized $51 and $707 of this loss in accumulated other comprehensive income (loss) for the years ended September 30, 2016 and 2015, respectively. Additionally, Battelle reclassified $2,225 and $2,302 of loss from accumulated other comprehensive income (loss) to interest expense for the years ended September 30, 2016 and 2015, respectively.

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There are derivative contracts included with the cash equivalents of the consolidated balance sheets of $21,103 and $61,991 as of September 30, 2016 and 2015, respectively. These derivatives are futures that are recorded at fair value. These derivatives are used for the purpose of gaining market exposure.

September 30, 2016Last Number

Notional Days ofDerivative Asset at Year-End Value Mark Contracts

Type of exposure: Fut Dec 15 10-Year T-Notes 1,705$ (5)$ 13 Fut Dec 15 5-Year T-Notes 2,916 (5) 24 Fut Dec 15 US T-Bonds 1,177 (10) 7 Fut Dec 15 EMINI S&P 500 8,318 46 77 Fut Dec 15 NYL MSCI EAFE 2,219 20 26 Fut Russell 2000 MINI Dec 15 1,623 16 13 Fut S&P MID 400 EMINI Dec 15 2,014 18 13

19,972$ 80$

During the year ended September 30, 2016, there was a net realized gain of $4,464 and a last day’s mark of $80.

September 30, 2015Last Number

Notional Days ofDerivative Asset at Year-End Value Mark Contracts

Type of exposure: Fut Dec 15 10-Year T-Notes 4,506$ (1)$ 35 Fut Dec 15 5-Year T-Notes 9,159 (3) 76 Fut Dec 15 US T-Bonds 3,776 (13) 24 Fut Dec 15 EMINI S&P 500 24,527 439 257 Fut Dec 15 NYL MSCI EAFE 3,288 53 30 Fut Russell 2000 MINI Dec 15 6,433 124 78 Fut S&P MID 400 EMINI Dec 15 5,860 83 43

57,549$ 682$

During the year ended September 30, 2015, there was a net realized loss of $662 and a last day’s mark of $682.

At the time Battelle enters into a futures contract, it is generally required to make a margin deposit with the custodian of a specified amount of liquid assets. Subsequent payments are made or received by the investment fund equal to the daily change in the contract value and are recorded as variation margin receivables or payables and offset in unrealized gains or losses. Futures are marked to market each day, with the change in value reflected in the unrealized gains and losses.

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The use of futures contracts involves, to varying degrees, elements of market and counterparty risk, which may exceed the amounts recognized in the consolidated balance sheets. Futures contracts present the following risks: imperfect correlation between the change in market value of a fund’s securities and the price of futures contracts; the possible inability to close a futures contract when desired; losses due to unanticipated market movements, which potentially are unlimited; and the possible inability of Battelle to correctly predict the direction of securities prices, interest rates, currency exchange rates, and other economic factors. Futures markets are highly volatile and the use of futures may increase the volatility of an investment’s value. As a result of the low-margin deposits normally required in futures trading, a relatively small price movement in a futures contract may result in substantial losses to Battelle. Futures contracts may be illiquid and exchanges may limit fluctuations in futures contract prices during a single day. All of the future contracts are traded on a United States of America exchange.

14. REVENUE FROM OPERATIONS

A summary of revenue from operations for the years ended September 30, 2016 and 2015, was as follows:

2016 2015

Government clients 4,706,726$ 4,660,586$ Commercial clients 95,027 108,031

Total 4,801,753$ 4,768,617$

National Laboratories—Battelle manages and operates four national laboratories for the US Department of Energy which represents the majority of the government source revenues. The following are the Battelle managed and operated national laboratories, along with their respective revenues, for the years ended September 30:

National Contract RevenuesLaboratory Location Expiration 2016 2015

Oak Ridge National Laboratory Oak Ridge, Tennessee March 2020 1,400,417$ 1,468,051$ Pacific Northwest National Laboratory (PNNL) Richland, Washington September 2022 910,581 950,989 Idaho National Laboratory Idaho Falls, Idaho September 2019 1,029,509 911,525 Brookhaven National Laboratory Upton, New York December 2019 588,265 595,668

3,928,772$ 3,926,233$

National Biodefense Analysis and Countermeasures Center—Battelle manages and operates the National Biodefense Analysis and Countermeasures Center for the US Department of Homeland Security under a 10-year contract, which is composed of a series of five one-year contracts, each with a one-year term extension. The contracts expire January 2026. In 2016 and 2015, Battelle recognized revenues of $32,902 and $41,241, respectively.

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15. COST OF OPERATIONS

A summary of cost of operations for the years ended September 30, 2016 and 2015, was as follows:

2016 2015

Salaries, wages, and benefit-related costs 2,656,600$ 2,522,415$ Subcontract and consultant costs 1,203,878 1,304,152 Purchased materials and services 795,552 813,034 Travel 101,100 93,590 Depreciation of property and equipment 32,805 38,789 Taxes other than income taxes 24,065 22,562 Other—net 5,202 1,304

Total operating costs 4,819,202 4,795,846

Restructuring costs 10,076 20,911 Impairment expense 3,774 20,487

Total cost of operations 4,833,052$ 4,837,244$

16. RESTRUCTURING COSTS

In 2016 and 2015, Battelle incurred restructuring charges of $10,076 and $20,911, respectively, in conjunction with a significant reconfiguration of the global business operations. These charges were recorded as restructuring costs. These nonoperating costs relate primarily to severance, other employee termination-related costs, and closure of leased facility space. Additionally in 2016, impairment costs of certain other investments totaling $5,264 were included in restructuring costs.

17. OTHER INCOME AND EXPENSES

Other—net for the years ended September 30, 2016 and 2015, consisted of the following:

2016 2015

Equity income (loss) in other investments 945$ (7,031)$ Loss on sale of property and equipment (349) (3,143) Loss on dissolution of Battelle Ventures (2,566) - Other expense (68) (766)

Total (2,038)$ (10,940)$

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18. INCOME TAXES

Income tax expense for the years ended September 30, 2016 and 2015, consisted of the following:

2016 2015

Current: US federal 144$ 54$ Foreign 1,265 1,125 State and local 27 115

Current income tax expense 1,436 1,294

Deferred: US federal 1,191 (558) Foreign (144) 143 State and local 68 (32)

Deferred income tax benefit (expense) 1,115 (447)

Total expense 2,551$ 847$

The tax effects of temporary differences that give rise to the deferred tax assets and deferred tax liabilities as of September 30, 2016 and 2015, were as follows:

2016 2015

Deferred tax assets: Other investments 664$ 445$ Compensated absences and other payroll-related liabilities 95 309 Accrued expenses and other liabilities - 2,018 Property and equipment - 1,759 Accounts receivable - 309 Net operating loss carryforwards 16,851 36,746 General business credit carryforwards and other foreign 1,785 1,628

Total deferred tax assets before valuation allowance 19,395 43,214

Valuation allowance (14,459) (37,163)

Net deferred tax assets after valuation allowance 4,936$ 6,051$

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As of September 30, 2016 and 2015, Battelle’s nontaxable entities had tax net operating loss carryforwards generating deferred tax assets of $4,609 and $5,867, respectively. These net operating losses are available to offset future unrelated business income and have a carryforward period through 2029. Based on unrelated business income, three-year cumulative unrelated business income and all other available evidence, including projected future taxable income and tax planning strategies, management concluded that it was more likely than not that Battelle would utilize a portion of these net operating losses from its nontaxable entities. As a result, during 2014, Battelle released the valuation allowance related to these net operating losses. The ultimate realization of the net operating loss carryforwards is dependent upon the generation of future taxable income.

Battelle’s taxable subsidiaries had tax net operating loss carryforwards of $12,242 and $30,879, which are available to offset future taxable income, if any, through 2036. Based upon the level of historical taxable income and projections for future taxable income over the periods that the deferred tax assets are deductible, management believes it is more likely than not that Battelle’s taxable subsidiaries will not realize the benefits of these deductible differences. Therefore, the net operating loss carryforwards, along with other subsidiary deferred tax assets, having a valuation allowance of $14,459 and $37,163 against the net subsidiary deferred tax assets have been recorded as of September 30, 2016 and 2015, respectively.

19. PENSION AND OTHER POSTRETIREMENT BENEFITS

Battelle has defined benefit pension plans that cover all salaried and eligible hourly employees of its corporate operations. The plans provide defined benefits based on years of service and average salary of the highest five consecutive years.

Battelle also has a postretirement medical plan covering the employees of its corporate operations, who were hired prior to July 1, 2005. An account-based postretirement medical plan with a fixed annual contribution was implemented January 1, 2013. The accounting for the plan is consistent with Battelle’s expressed intent to limit increases to the employer subsidy to no more than 5% per year.

During 2015, Battelle announced that the pension plan would be frozen for further benefit accruals for all the Battelle Columbus location employees whose combination of age, plus years of pension vesting service, is less than 60 as of June 30, 2015. Beginning July 1, 2015, no new participants from the Battelle Columbus location would enter the pension plan. This resulted in a curtailment gain of $47,896. The plan also offered a limited lump-sum payment to prior terminated vested employees, which was paid in July 2015. This resulted in a settlement loss of $19,083. These pension benefit adjustments were recorded as part of cost of operations. In addition, during 2015, Battelle offered a voluntary retirement option to a group of eligible participants meeting certain criteria. This resulted in a special termination benefit cost of $43,849. A settlement charge of $27,846 was recognized during fiscal year 2016 as the benefit was paid.

The plans’ benefit obligations and fair value of plan assets as of the measurement date of September 30, 2016 and 2015, are mentioned in the below table. It reflects the change due to a partial freeze in the pension plan, lump-sum payment, and voluntary retirement option made during 2015.

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The plans’ benefit obligations and fair value of plan assets as of the measurement date of September 30, 2016 and 2015, were as follows:

Change in Projected Benefit Obligation Pension Postretirement

Projected obligation—September 30, 2014 1,184,998$ 70,713$

Service cost 21,354 2,007 Interest cost 50,062 3,192 Actuarial loss (gain) 150,145 (3,423) Curtailments gain (129,429) - Plan settlements (85,905) - Special termination benefits 43,849 - Benefit payments (53,165) (2,653)

Projected obligation—September 30, 2015 1,181,909 69,836

Service cost 11,463 1,297 Interest cost 48,301 3,214 Actuarial loss (gain) 81,190 (15,849) Plan settlements (99,101) - Benefit payments (64,916) (1,907)

Projected obligation—September 30, 2016 1,158,846$ 56,591$

Change in Fair Value of Plan Assets

Fair value of plan assets—September 30, 2014 1,026,355$ 14,128$

Actual return on plan assets 10,654 161 Employer contributions 12,707 - Plan settlements (85,905) - Benefit paid and expected expenses—benefit payments (53,165) (2,653)

Fair value of plan assets—September 30, 2015 910,646 11,636

Actual return on plan assets 117,454 1,208 Employer contributions 12,707 - Plan settlements (99,101) - Benefit paid and expected expenses—benefit payments (64,916) (1,909)

Fair value of plan assets—September 30, 2016 876,790$ 10,935$

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Amounts recognized in the consolidated balance sheets consisted of the following:

2016 2015Pension Postretirement Pension Postretirement

Noncurrent liabilities—net amount recognized (282,056)$ (45,656)$ (271,261)$ (58,201)$

Amounts recognized in accumulated other comprehensive income (loss) consisted of the following:


Accumulated loss (312,295)$ (5,078)$ (334,118)$ (23,014)$ Accumulated prior-year service cost 18,231 24,744 21,728 30,923

Total accumulated other comprehensive (loss) income (294,064)$ 19,666$ (312,390)$ 7,909$

The accumulated benefit obligations for all defined benefit pension plans as of September 30, 2016 and 2015, were $1,139,178 and $1,163,454, respectively. The funded status and net periodic cost consisted of the following:


Funded status at year-endProjected benefit obligation (1,158,846)$ (56,591)$ (1,181,909)$ (69,836)$ Fair value of plan assets 876,790 10,935 910,648 11,635

Funded status—deficit (282,056) (45,656) (271,261) (58,201)

Net amount recognized (282,056)$ (45,656)$ (271,261)$ (58,201)$


Service cost 11,463$ 1,297$ 21,354$ 2,007$ Interest cost 48,301 3,214 50,062 3,192 Expected return on plan assets (63,304) (902) (78,464) (1,095) Amortization of transition obligation - - - - Amortization of prior service cost (3,496) (6,185) (5,816) (6,185) Amortization of net actuarial loss 21,013 1,782 17,387 2,048

Net periodic benefit cost 13,977$ (794)$ 4,523$ (33)$

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The estimated net loss and prior-service credit for the defined benefit pension plans that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $19,686 and $(3,496), respectively. The estimated net loss and prior-service credit for the defined benefit postretirement plans that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $0 and $(6,185), respectively.

Assumptions—Weighted-average assumptions used to determine benefit obligations as of September 30, 2016 and 2015, were as follows:


Discount rate 3.86 % 3.99 % 4.59 % 4.69 % Rate of compensation increase 2.81 NA 4.26 NA

Weighted-average assumptions used to determine net periodic benefit cost for the years ended September 30, 2016 and 2015, were as follows:


Discount rate 4.59 % 4.69 % 4.58 % 4.60 % Expected return on plan assets 7.75 7.75 7.75 7.75 Rate of compensation increase 4.26 NA 6.61 NA

The expected long-term rate of return was developed by considering the target asset allocation, long-term historical market returns, and long-term projected market return.

The health care cost trend rates represent the rate of increase in employer claim payments. Battelle’s postretirement benefit costs are capped at a 5% annual increase. Future medical cost trend increases are assumed to be above the 5% cap and, therefore, will have no material effect on plan liabilities.

In December 2003, the Medicare Prescription Drug, Improvement, and Modernization Act of 2003 (the “Act”) became law in the United States. The Act introduces a prescription drug benefit under Medicare, as well as a federal subsidy to sponsors of retiree health care benefit plans that provide a benefit that is at least actuarially equivalent to the Medicare benefit. The postretirement benefit values contained above do not reflect any amount associated with any subsidy provided by the Act. Any drug benefit resulting from this Act will be used to decrease retiree contributions and not the employer subsidy, thereby causing the net effect of the Act on the plan to be $0.

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Plan Assets—Battelle’s pension plans and postretirement plan weighted-average asset allocations as of September 30, 2016 and 2015, by asset category were as follows:

2016Pension Postretirement

Asset Category Target Actual Target Actual

Equity securities 53%–88% 54 % 67 % 64 % Debt securities 20%–30% 26 28 26 Real estate/other 0%–10% 20 5 10

100 % 100 % 100 %

2015Pension Postretirement

Asset Category Target Actual Target Actual

Equity securities 70 % 52 % 64 % 64 % Debt securities 25 28 26 29 Real estate/other 5 20 10 7

100 % 100 % 100 % 100 %

The investment plan strives to optimize the availability of funds in relation to the long-term liabilities on the pension and postretirement plans. A long-term investment horizon enables the funds to tolerate the risk of somewhat volatile investment returns in the short run, with the expectation of higher returns in the long run. The funds are diversified across several asset classes and many securities to reduce risk. Current income is not a key goal of the plans, although current cash requirements related to benefit responsiveness are considered in the investment process. Derivatives are permitted only for hedging and transactional efficiency.

As required by ASC 820, financial assets are classified in their entirety based on the lowest level of input that is significant to the fair value measurement. Management’s assessment of the significance of a particular input to the fair value measurement requires judgment and may affect the valuation of fair value assets and their placement within the fair value hierarchy levels, which are outlined in Note 6.

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The pension plan assets are part of a master trust. As of September 30, 2016, the plan assets associated with the consolidated financial statements consisted of approximately 37.71% or $876,790 of the master trust. The pension’s assets set forth by level within the fair value hierarchy as of September 30, 2016, are as follows:

ActiveMarkets for Other Significant

Identical Observable UnobservableAssets Inputs Inputs

(Level 1) (Level 2) (Level 3) Total

Common stock: Consumer discretionary 67,172$ - $ - $ 67,172$ Consumer staples 40,918 - - 40,918 Energy 16,915 - - 16,915 Financials 47,829 585 - 48,414 Health care 40,461 - - 40,461 Industrials 42,559 - - 42,559 Information technology 81,843 602 - 82,445 Materials 21,237 - - 21,237 Real estate 11,004 48 - 11,052 Telecommunication services 7,061 - - 7,061 Utilities 8,679 - - 8,679

Total common stock 385,678 1,235 - 386,913

Funds—common stock - 79,543 - 79,543 Cash 10,390 52,892 - 63,282 Government bonds - 215,163 - 215,163 Government mortgage-backed securities - 25 - 25 Asset-backed securities - 9 - 9 Non-government-backed collateralized mortgage obligations - 34 - 34 Private equity funds - 29,829 58,044 87,873 Real estate - - 39,495 39,495 Huntington National Bank benefit 3,956 - - 3,956 Dividend and interest receivable 497 - - 497

Total investment 400,521$ 378,730$ 97,539$ 876,790$

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The pension plan assets are part of a master trust. As of September 30, 2015, the plan assets associated with the consolidated financial statements consisted of approximately 42% or $910,646 of the master trust. The pension’s assets set forth by level within the fair value hierarchy as of September 30, 2015, are as follows:

ActiveMarkets for Other Significant

Identical Observable UnobservableAssets Inputs Inputs

(Level 1) (Level 2) (Level 3) Total

Common stock: Consumer discretionary 57,344$ - $ - $ 57,344$ Consumer staples 45,728 - - 45,728 Energy 15,175 551 - 15,726 Financials 54,402 - - 54,402 Health care 43,210 - - 43,210 Industrials 29,058 - - 29,058 Information technology 75,805 - - 75,805 Materials 14,332 - - 14,332 Telecommunication services 7,996 - - 7,996 Utilities 8,832 - - 8,832

Total common stock 351,882 551 - 352,433

Funds—common stock - 84,441 - 84,441 Cash 60,029 - - 60,029 Government bonds - 242,469 - 242,469 Government mortgage-backed securities - 32 - 32 Funds—fixed income - 14,947 - 14,947 Asset-backed securities - 42 - 42 Non-government-backed collateralized mortgage obligations - 73 - 73 Private equity funds - 35,143 70,832 105,975 Real estate - - 44,661 44,661 Huntington National Bank benefit 5,093 - - 5,093 Dividend and interest receivable 415 13 23 451

Total investment 417,419$ 377,711$ 115,516$ 910,646$

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A reconciliation of the beginning and ending balances of the fair value measurements using significant unobservable inputs (Level 3) as of September 30, 2016 and 2015, is as follows:

Ending balance—September 30, 2014 122,033$

Realized and unrealized gains—net 11,112 Contributions and transfers in 14,705 Withdrawals and transfers out (32,334)

Ending balance—September 30, 2015 115,516

Realized and unrealized gains—net 3,668 Contributions and transfers in 10,947 Withdrawals and transfers out (32,592)

Ending balance—September 30, 2016 97,539$

The amount of total gains or losses for the years ended September 30, 2016 and 2015, included in changes in net assets attributable to the change in unrealized gains or losses related to assets still held at the reporting date is $(7,415) and $925, respectively.

The postretirement plan’s assets, set forth by level, within the fair value hierarchy, as of September 30, 2016 and 2015, are as follows:

2016 2015Level 1 Level 2 Total Level 1 Level 2 Total

Mutual funds: International stock fund 6,938$ - $ 6,938$ 7,325$ - $ 7,325$ Bond fund 2,830 - 2,830 3,298 - 3,298

Total mutual funds 9,768 - 9,768 10,623 - 10,623

Money market funds - 1,173 1,173 - 1,020 1,020 Payable from pending transactions (5) - (5) (7) - (7)

Total investments 9,763$ 1,173$ 10,936$ 10,616$ 1,020$ 11,636$

Cash Flows

Contributions—Battelle expects to contribute $17,706 to its pension plan and $2,618 to its postretirement benefit plan in 2017. In 1999, the plans were amended to pay certain retiree medical claims from pension plan assets through a 401(h) account as permitted by Section 420 of the Internal Revenue Code.

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Estimated Future Benefit Payments—The following benefit payments, which reflect expected future service, as appropriate, are expected to be paid:

Pension Postretirement Total

2017 67,678$ 2,618$ 70,296$ 2018 67,754 2,604 70,358 2019 67,557 2,710 70,267 2020 68,384 2,764 71,148 2021 68,514 2,825 71,339 2022–2026 345,611 15,473 361,084

20. COMMITMENTS AND CONTINGENCIES

Financial Guarantees—Battelle has letters of credit aggregating approximately $824 and$856 as of September 30, 2016 and 2015, respectively, that reduce availability on the lineof credit due between February 28, 2015, and June 30, 2017. The letters of creditgenerally provide guarantees on contract and other activities to be performed relating toadvance payments from clients and other advance proceeds. Battelle fully expects to meetall contract requirements.

Legal Proceedings—Battelle has been named as a defendant in various actions. While itis impossible to ascertain the ultimate legal and financial liability with respect to contingentliabilities, including lawsuits, Battelle believes that the aggregate amount of such liabilities,if any, in excess of amounts provided or covered by insurance, will not have a materialadverse effect on the consolidated financial position, results of operations, or cash flows.

Obligation under the Will of Gordon Battelle—Battelle was formed in 1925 pursuant tothe Will. That Will, as interpreted by agreement with the Ohio Attorney General, requires,among other things, that Battelle annually distribute to qualified recipients a portion of itsnet income. On June 17, 1997, Battelle entered into an agreement (vacating a May 7,1975, consent decree) with the Ohio Attorney General requiring distribution of the greaterof 20% of Battelle’s annual net income or $1,000 to qualified charitable causes. Battelle’sobligation as determined under the above formula for distribution to qualified recipientsapproximated $1,000 for the years ended September 30, 2016 and 2015.

Obligations determined under the formula that are in excess of distributions made duringthe current year may be fulfilled by distributions paid within 12 months following the endof the year. As of September 30, 2016 and 2015, Battelle has no accruals forunconditionally pledged charitable distributions. Battelle distributed $7,366 and $5,832 incash to qualified recipients for the years ended September 30, 2016 and 2015,respectively.

In August 2005, Battelle established a donor-advised fund, The Battelle Foundation Fund(the “Fund”), under The Columbus Foundation, a 501(c)(3) public charity communityfoundation that is legally and financially separate from Battelle. The initial funding was$6,000 and the majority of Battelle’s future charitable distributions are expected to bemade to the Fund. Battelle recommends distributions from the Fund to qualifyingrecipients; however, The Columbus Foundation makes final decisions on the actualdistributions. The funds transferred from Battelle to the Fund have no possibility ofreversion to Battelle. Distributions to the Fund fulfill the obligations under the Will.

* * * * * *

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SCHEDULE OF EXPENDITURES OF FEDERAL AWARDSFOR THE YEAR ENDED SEPTEMBER 30, 2016

Agency Total SubrecipientCode CFDA R&D Federal Agency Major Sub Agency/Program Title Expenditures Dollars Contract Ref.

1. Direct Funding

12 RD Yes Department of Defense Air Force 781,672$ 683,299$ FA8075-14-D-0003 DO 000912 RD Yes Department of Defense Air Force 974,141 875,085 FA8075-14-D0015 DO 000212 RD Yes Department of Defense Air Force 324,573 - FA8075-14-D0015 DO 000312 RD Yes Department of Defense Air Force (4,216) (4,216) FA8100-04-D-0002/DO 0005/CLIN 070612 RD Yes Department of Defense Air Force (107) (105) FA8100-04-D-0002/DO 0005/CLIN 100312 RD Yes Department of Defense Air Force 1,095 - FA8222-12-D0004 / RJ0112 RD Yes Department of Defense Air Force 3,339,029 905,977 FA8222-12-D-0004-000212 RD Yes Department of Defense Air Force (4) - FA8222-12-D-0004-000312 RD Yes Department of Defense Air Force 136,389 44,439 FA8620-16-C-304512 RD Yes Department of Defense Air Force 2,875 - FA8629-08-G-2360-000612 RD Yes Department of Defense Air Force 447,247 317 FA8650-15-D-1953, 000112 RD Yes Department of Defense Air Force 382 - SP0700-00-D-3180 - D. O. 0793 - TAT CB:13-075312 RD Yes Department of Defense Air Force 117,944 - SP0700-00-D-3180 / D. O. 0773 / TAT: CB-12-052912 RD Yes Department of Defense Air Force (1) - SP0700-00-D-3180 / DO 070912 RD Yes Department of Defense Air Force (272) - SP0700-00-D-3180 DO/074612 RD Yes Department of Defense Air Force 8,694 - SP0700-00-D-3180 / D. O. 0720 / CB 11-011612 RD Yes Department of Defense Air Force 1 - SP0700-00-D-3180 / D.O. 079612 RD Yes Department of Defense Air Force (100) - SP0700-00-D-3180 / 0814 / TAT: CB 14-083912 RD Yes Department of Defense Air Force 4,855 - SP0700-00-D-3180/DO 0522/TAT 67012 RD Yes Department of Defense Air Force (922) - SP0700-00-D-3180/DO 0580/TAT 72812 RD Yes Department of Defense Air Force (244) - SP0700-00-D-3180/DO 0605/TAT 77712 RD Yes Department of Defense Air Force 153,289 - W911NF-11-D-0001 / D. O. 0244 / TCN 1306712 RD Yes Department of Defense Air Force 4,164 4,164 W911NF-11-D-0001 / D.O. 0274 / TCN: 1405712 RD Yes Department of Defense Air Force 96,203 - W911NF-11-D0001 DO 0317 / TCN 15-00512 RD Yes Department of Defense Air Force 14,013 14,013 W911NF-11-D0001 DO 0338 / TCN 15-04012 RD Yes Department of Defense Air Force 471 - W911NF-11-D-0001/DO 0125/TCN 1204112 RD Yes Department of Defense Air Force 4,711 - W911NF-11-D-0001/DO 0251/TCN 1402212 RD Yes Department of Defense Air Force 291,336 291,336 W911NF-11-D0001/DO 0257/TCN 1403312 RD Yes Department of Defense Air Force 365,488 365,488 W911NF-11-D-0001/DO 0259/TCN 1403612 RD Yes Department of Defense Air Force 216,373 216,373 W911NF-11-D-0001/DO 0283/TCN 1405812 RD Yes Department of Defense Air Force 328,505 - W91CRB-11-D0002 D.O. 003412 RD Yes Department of Defense Army 141,434 37,530 Agreement No 2010-365 OTIA No 5 13-01-INIT09212 RD Yes Department of Defense Army (66) - CONTRACT W911SE-07-D-0011/DO DG01/PERIOD 212 RD Yes Department of Defense Army (311) - CONTRACT W911SE-07-D-0011/DO DG01/PERIOD 312 RD Yes Department of Defense Army 56,719 - DAAD13-03-D-0011/DO 000112 RD Yes Department of Defense Army 56,940 - E2A-0001/W911SR-16-D-002412 RD Yes Department of Defense Army 4,590,564 2,670,755 FA1500-10-D-0003-000312 RD Yes Department of Defense Army 3,265,794 918,949 FA8075-14-D-0003/DO 000312 RD Yes Department of Defense Army 1,131,237 591,281 FA8075-14-D0015 DO 2T0112 RD Yes Department of Defense Army 50,212 - FA8075-14-D-0015-2T0212 RD Yes Department of Defense Army (199,886) - GPMA ARL at risk memo12 RD Yes Department of Defense Army 5,374,956 467,910 GS00Q14OADU402, DELIVERY# W911NF-15-F-000612 RD Yes Department of Defense Army 22,212 - GS00Q14OADU402/POOL 4/TOR OA-14/W911NF-16-F-001912 RD Yes Department of Defense Army 5,996,898 5,418,951 GS00Q14OADU402/W911NF-15-F000712 RD Yes Department of Defense Army 93,711 - OPP112575--Multiclient - ISG12 RD Yes Department of Defense Army 118,770 119,447 SP0700-00-D-3180 - D. O. 0754 - CB 12-034612 RD Yes Department of Defense Army 219 - SP0700-00-D-3180 / DO 0750 / TAT NO:CB-12-035612 RD Yes Department of Defense Army (1,483) - SP0700-00-D-3180 / DO 0777 / TAT NO: CB-13-065712 RD Yes Department of Defense Army (641) - SP0700-00-D-3180 DO 076212 RD Yes Department of Defense Army 22 - SP070000D3180 DO 078912 RD Yes Department of Defense Army (363) - SP0700-00-D-3180 / D. O. 0790 / TAT: CB:13-077812 RD Yes Department of Defense Army (5,153) - SP0700-00-D-3180 / DO 0778 / CB-13-066812 RD Yes Department of Defense Army (111) - SP0700-00-D-3180 / DO 0782 / CB-13-063012 RD Yes Department of Defense Army (757) - SP0700-00-D-3180 / DO 0806 / CB-14-082412 RD Yes Department of Defense Army (27,707) (4,149) SP0700-00-D-3180 DO 080112 RD Yes Department of Defense Army 11,097 - SP0700-00-D-3180/DO 0097/TAT 11412 RD Yes Department of Defense Army 33 - SP0700-00-D-3180/DO 0126/Mod 11/SA 1412 RD Yes Department of Defense Army 226 - SP0700-00-D-3180/DO 0126/Mod 27/SA 3612 RD Yes Department of Defense Army 611 - SP0700-00-D-3180/DO 0126/Mod 43/SA 4912 RD Yes Department of Defense Army 149 - SP0700-00-D-3180/DO 0126/SUBSCRIPTION ACCOUNT 5712 RD Yes Department of Defense Army 167 - SP0700-00-D-3180/DO 0497/TAT 64812 RD Yes Department of Defense Army 190 - SP0700-00-D-3180/DO 0544/TAT 71412 RD Yes Department of Defense Army 1,729 - SP0700-00-D-3180/DO 0551/TAT 72112 RD Yes Department of Defense Army 1,458 - SP0700-00-D-3180/DO 0573/TAT 75712 RD Yes Department of Defense Army 1 - SP0700-00-D-3180/DO 0616/TAT 79012 RD Yes Department of Defense Army (28) - SP0700-00-D-3180/DO 0650/TAT 85112 RD Yes Department of Defense Army (12,037) (2,720) SP0700-00-D-3180/DO 0699/TAT 89912 RD Yes Department of Defense Army 139 (5) SP0700-00-D-3180/DO 0707/CB 11-014212 RD Yes Department of Defense Army 43 - SP0700-00-D-3180/DO 0708/CB-11-0108

(Continued)

- 44 -




12 RD Yes Department of Defense Army (814)$ -$ SP0700-00-D-3180/DO 0718/CB-11-023312 RD Yes Department of Defense Army (2,068) - SP0700-00-D-3180/DO 0721/CB-11-024812 RD Yes Department of Defense Army 10,818 12,989 SP0700-00-D-3180/DO 0751/CB-12-036512 RD Yes Department of Defense Army (6) - SP0700-00-D-3180/DO 0807/CB-14-087412 RD Yes Department of Defense Army (141) - SP0700-00-D-3180-0712 / CB 11-024612 RD Yes Department of Defense Army (161) - SP0700-00-D-3180-073712 RD Yes Department of Defense Army (104) - SP0700-00-D-3180-0740 / CB-12-036212 RD Yes Department of Defense Army 684 - SP0700-00-D-3180-075612 RD Yes Department of Defense Army 391 - SP0700-00-D-3180-077012 RD Yes Department of Defense Army 173 - SP0700-00-D-3180-077412 RD Yes Department of Defense Army (64) - SP0700-00-D-3180-077912 RD Yes Department of Defense Army (20) - W15QKN-09-D-0015 DO 001512 RD Yes Department of Defense Army 989,443 745,203 W15QKN-09-D-0015 DO 001412 RD Yes Department of Defense Army (248) - W15QKN-09-D-0015-001312 RD Yes Department of Defense Army 111,856 3,065 W900KK-11-C002012 RD Yes Department of Defense Army 1,027 1,027 W911NF-07-D-0001/ DO 105012 RD Yes Department of Defense Army 84,700 84,700 W911NF-11-D·0001/DO 0273/TCN 1403112 RD Yes Department of Defense Army 317,661 - W911NF-11-D0001 DO 0314 / TCN 15-019

12 RD Yes Department of Defense Army 196,278 196,278 W911NF-11-D-0001 / 0341 / TCN 1505812 RD Yes Department of Defense Army 202,986 202,986 W911NF-11-D-0001 / 0342 / TCN 1505912 RD Yes Department of Defense Army 24,100 24,100 W911NF-11-D-0001 / 0348 / TCN 1505312 RD Yes Department of Defense Army 218,408 218,408 W911NF-11-D-0001 / DO 0282/TCN 1406112 RD Yes Department of Defense Army 54,543 54,543 W911NF-11-D-0001 / DO 0294 / TCN 14-06512 RD Yes Department of Defense Army 267,897 267,897 W911NF-11-D-0001 / DO 0351 / TCN 1504812 RD Yes Department of Defense Army 159,000 159,000 W911NF-11-D-0001 / DO 0357 / TCN 1506612 RD Yes Department of Defense Army 224,179 - W911NF-11-D0001 DO 0310 / TCN 15-02712 RD Yes Department of Defense Army 61,111 61,111 W911NF-11-D0001 DO 0311 / TCN 15-01112 RD Yes Department of Defense Army 15,658 15,658 W911NF-11-D0001 DO 0312 / TCN 15-00912 RD Yes Department of Defense Army 733,344 733,344 W911NF-11-D0001 DO 0315 / TCN 15-02012 RD Yes Department of Defense Army 140,318 140,318 W911NF-11-D0001 DO 0318 / TCN 15-01412 RD Yes Department of Defense Army 111,314 111,314 W911NF-11-D-0001 DO 0320 / TCN 15-02612 RD Yes Department of Defense Army 613,636 613,636 W911NF-11-D0001 DO 0321 / TCN 15-01612 RD Yes Department of Defense Army 134,958 134,958 W911NF-11-D0001 DO 0322 / TCN 15-02312 RD Yes Department of Defense Army 273,424 273,424 W911NF-11-D-0001 DO 0324 / TCN 15-02812 RD Yes Department of Defense Army 94,345 94,345 W911NF-11-D0001 DO 0325 / TCN 15-03712 RD Yes Department of Defense Army 17,738 17,738 W911NF-11-D0001 DO 0326 / TCN 15-02912 RD Yes Department of Defense Army 61,508 61,508 W911NF-11-D0001 DO 0328 / TCN 15-03412 RD Yes Department of Defense Army 91,003 91,003 W911NF-11-D0001 DO 0329 / TCN 15-03212 RD Yes Department of Defense Army 57,950 57,950 W911NF-11-D0001 DO 0330 / TCN 15-03112 RD Yes Department of Defense Army 29,891 29,864 W911NF-11-D0001 DO 0331 / TCN 15-03312 RD Yes Department of Defense Army 142,652 142,652 W911NF-11-D0001 DO 0336 / TCN 15-06012 RD Yes Department of Defense Army 169,358 169,358 W911NF-11-D0001 DO 0339 / TCN 15-05512 RD Yes Department of Defense Army 28,920 28,920 W911NF-11-D0001 DO 0343 / TCN 15-06912 RD Yes Department of Defense Army 42,210 42,210 W911NF-11-D0001 DO 0344 / TCN 15-04312 RD Yes Department of Defense Army 589,710 589,710 W911NF-11-D0001 DO 0346 / TCN 15-03912 RD Yes Department of Defense Army 33,315 33,315 W911NF-11-D0001 DO 0347 / TCN 15-05412 RD Yes Department of Defense Army 100,000 100,000 W911NF-11-D0001 DO 0352 / TCN 15-05012 RD Yes Department of Defense Army 39,348 39,348 W911NF-11-D0001 DO 0353 / TCN 15-05712 RD Yes Department of Defense Army 156,035 156,035 W911NF-11-D0001 DO 0354 / TCN 15-06812 RD Yes Department of Defense Army 397,741 397,741 W911NF-11-D-0001/ 0308 TCN 15-02412 RD Yes Department of Defense Army 651,036 8,225 W911NF-11-D-0001/0319 TCN 1501012 RD Yes Department of Defense Army 55,400 55,400 W911NF-11-D-0001/DO 0052/TCN 1101012 RD Yes Department of Defense Army 24 - W911NF-11-D-0001/DO 0140/TCN 1205112 RD Yes Department of Defense Army 42,400 42,400 W911NF-11-D-0001/DO 0150/TCN 1205612 RD Yes Department of Defense Army 3,139 3,139 W911NF-11-D-0001/DO 0160/TCN 1208012 RD Yes Department of Defense Army (42) - W911NF-11-D-0001/DO 0183/TCN 1300612 RD Yes Department of Defense Army 16,502 12,455 W911NF-11-D-0001/DO 0190/TCN 1301712 RD Yes Department of Defense Army 116,657 80,397 W911NF-11-D-0001/DO 0200/TCN 1302412 RD Yes Department of Defense Army 323 323 W911NF-11-D-0001/DO 0204/TCN 1301912 RD Yes Department of Defense Army 37,518 37,518 W911NF-11-D-0001/DO 0211/TCN 1303412 RD Yes Department of Defense Army 90,020 90,020 W911NF-11-D-0001/DO 0221/TCN 1305012 RD Yes Department of Defense Army 10,000 10,000 W911NF-11-D-0001/DO 0223/TCN 1304012 RD Yes Department of Defense Army 85,852 85,852 W911NF-11-D-0001/DO 0224/TCN 1305112 RD Yes Department of Defense Army 20,000 20,000 W911NF-11-D-0001/DO 0228/TCN 1304712 RD Yes Department of Defense Army 64 - W911NF-11-D-0001/DO 0230/TCN 1304812 RD Yes Department of Defense Army 1,064 - W911NF-11-D-0001/DO 0232/TCN 1305512 RD Yes Department of Defense Army 55,988 55,988 W911NF-11-D-0001/DO 0233/TCN 1305212 RD Yes Department of Defense Army 41,170 15,038 W911NF-11-D-0001/DO 0241/TCN 14-00212 RD Yes Department of Defense Army 180,728 180,728 W911NF-11-D-0001/DO 0247/TCN 1401412 RD Yes Department of Defense Army 31,632 31,632 W911NF-11-D-0001/DO 0250/TCN 1401712 RD Yes Department of Defense Army 61,342 61,342 W911NF-11-D0001/DO 0254/TCN 1402012 RD Yes Department of Defense Army 26,375 26,375 W911NF-11-D0001/DO 0255/TCN 1402312 RD Yes Department of Defense Army (476) - W911NF-11-D-0001/DO 0256/TCN 1403512 RD Yes Department of Defense Army 55,062 55,062 W911NF-11-D-0001/DO 0258/TCN 1402712 RD Yes Department of Defense Army 132,160 132,160 W911NF-11-D-0001/DO 0263/TCN 1403812 RD Yes Department of Defense Army 6,506 - W911NF-11-D0001/DO 0264/TCN 1404312 RD Yes Department of Defense Army 34,416 34,416 W911NF-11-D0001/DO 0265/TCN 1402512 RD Yes Department of Defense Army 28,411 28,411 W911NF-11-D-0001/DO 0267/TCN 1404912 RD Yes Department of Defense Army 2,761 - W911NF-11-D0001/DO 0268/TCN 1400812 RD Yes Department of Defense Army 1,856 - W911NF-11-D-0001/DO 0269/TCN14024

(Continued)

- 45 -




12 RD Yes Department of Defense Army 34,078$ 34,078$ W911NF-11-D-0001/DO 0270/TCN 1404812 RD Yes Department of Defense Army 101,678 101,678 W911NF-11-D-0001/DO 0271 / TCN 1404712 RD Yes Department of Defense Army 425,471 425,471 W911NF-11-D-0001/DO 0275/TCN 1405212 RD Yes Department of Defense Army 575,392 575,392 W911NF-11-D-0001/DO 0277/TCN 1405612 RD Yes Department of Defense Army 16,151 16,151 W911NF-11-D-0001/DO 0279/TCN 1405512 RD Yes Department of Defense Army 10,904 10,904 W911NF-11-D-0001/DO 0280 / TCN1406012 RD Yes Department of Defense Army 40,152 40,152 W911NF-11-D-0001/DO 0281/TCN 1406312 RD Yes Department of Defense Army 270,955 270,955 W911NF-11-D-0001/DO 0284/TCN 1405312 RD Yes Department of Defense Army 36,150 36,150 W911NF-11-D-0001/DO 0285 / TCN1404112 RD Yes Department of Defense Army 47,168 47,168 W911NF-11-D0001/DO 0286/TCN 1406612 RD Yes Department of Defense Army 15,968 15,968 W911NF-11-D-0001/DO 0288/TCN 1405012 RD Yes Department of Defense Army 77,823 77,823 W911NF-11-D-0001/DO 0289/TCN 1404512 RD Yes Department of Defense Army 95,466 95,466 W911NF-11-D-0001/DO 0292/TCN 1404612 RD Yes Department of Defense Army 3,740 2,634 W911NF-11-D0001/DO 0293/TCN 1407112 RD Yes Department of Defense Army 50,622 29,060 W911NF-11-D-0001/DO 0295/TCN 1403412 RD Yes Department of Defense Army 135,385 - W911NF-11-D0001/DO 0296/TCN 1407212 RD Yes Department of Defense Army 41,927 41,927 W911NF-11-D0001/DO 0297/TCN 1406912 RD Yes Department of Defense Army 59,947 59,947 W911NF-11-D-0001/DO 0299/TCN 1406412 RD Yes Department of Defense Army 128,442 48,000 W911NF-11-D0001/DO 0301/TCN 1404012 RD Yes Department of Defense Army 382,220 3,644 W911NF-11-D0001/DO 0302/TCN 1405412 RD Yes Department of Defense Army 107,240 107,240 W911NF-11-D0001/DO 0303/TCN 1501212 RD Yes Department of Defense Army 170,662 170,662 W911NF-11-D0001/DO 0304/TCN 1501512 RD Yes Department of Defense Army 34,825 34,825 W911NF-11-D0001/DO 0305/TCN 1500112 RD Yes Department of Defense Army 438,683 - W911NF-11-D-0001/DO 0306/TCN1501312 RD Yes Department of Defense Army 262,001 - W911NF-11-D0001/DO 0307/TCN 1502212 RD Yes Department of Defense Army 448,952 215,041 W911NF-11-D0001/DO 0309/TCN 1501712 RD Yes Department of Defense Army 833,332 834,165 W911NF-11-D0001/DO 0316/TCN 1500712 RD Yes Department of Defense Army 10,500 10,500 W911NF-11-D0001/DO 0332 / TCN 15-04212 RD Yes Department of Defense Army 490,705 490,705 W911NF-11-D0001/DO 0333/TCN 1503812 RD Yes Department of Defense Army 264,375 264,375 W911NF-11-D0001/DO 0335/TCN 1505612 RD Yes Department of Defense Army 212,299 212,299 W911NF-11-D0001/DO 0337/TCN 1504112 RD Yes Department of Defense Army 99,754 99,754 W911NF-11-D0001/DO 0345/TCN 1503612 RD Yes Department of Defense Army 167,012 167,012 W911NF-11D0001/DO 0349/TCN 1504512 RD Yes Department of Defense Army 27,673 27,673 W911NF-11-D-0001/DO 0360 /TCN 1600612 RD Yes Department of Defense Army 63,457 63,457 W911NF-11-D-0001/DO 0361/TCN 1600312 RD Yes Department of Defense Army 145,759 145,759 W911NF-11-D-0001/DO 0362/TCN 1600412 RD Yes Department of Defense Army 7,701 7,701 W911NF-11-D-0001/DO 0364/TCN 1601012 RD Yes Department of Defense Army 39,954 39,954 W911NF-11-D-0001/DO 0368 /TCN 1601812 RD Yes Department of Defense Army 94,112 94,112 W911NF-11-D-0001/DO 0373 /TCN 16-01712 RD Yes Department of Defense Army 75 - W911NF-11-D-0001/DO 0376/TCN 1601612 RD Yes Department of Defense Army 44,800 44,800 W911NF-11-D0001/DO0355/TCN 1506412 RD Yes Department of Defense Army 274,400 274,400 W911NF-11-D-0001/DO0375/TCN 15-04912 RD Yes Department of Defense Army 66,000 66,000 W911NF-11-D-0001/DO340/TCN 15-04412 RD Yes Department of Defense Army 202,640 - W911NF-15-C-001512 RD Yes Department of Defense Army 1,915,555 447,863 W911NF15C023012 RD Yes Department of Defense Army 8,367,270 897,080 W911NF-15-F-000812 RD Yes Department of Defense Army 4,452 - W911NF-16-F-002312 RD Yes Department of Defense Army (17,034) 114 W911SE-07-D-0011 / DG0112 RD Yes Department of Defense Army (4,281) - W911SE-07-D-0011/DG01 Ordering Period 512 RD Yes Department of Defense Army 1,034 1,867 W911SE-07-D-0011/DO DG01 ORDERING PERIOD 412 RD Yes Department of Defense Army (345) - W911SR-10-D-0009/DO 000112 RD Yes Department of Defense Army (2) - W911SR-10-D-0009/DO 000312 RD Yes Department of Defense Army (66) - W911SR-10-D-0009/DO 000512 RD Yes Department of Defense Army 123 - W911SR-10-D-0009/DO 000612 RD Yes Department of Defense Army 7,947,129 6,967,679 W911SR-15-2-000112 RD Yes Department of Defense Army 85,786 - W911SR-15-2-0001 DO 000112 RD Yes Department of Defense Army 328,185 27,450 W911SR-15-2-0001 DO 000412 RD Yes Department of Defense Army 152,012 - W911SR-15-2-0001/000212 RD Yes Department of Defense Army 780,441 13,263 W911SR-15-2-0001/000512 RD Yes Department of Defense Army 100,904 - W911SR-15-2-0001/000612 RD Yes Department of Defense Army 63,121 - W911SR-15-2-0001/000712 RD Yes Department of Defense Army 51,546 - W911SR-15-2-0001/000912 RD Yes Department of Defense Army 71,352 - W911SR-15-2-0001/001012 RD Yes Department of Defense Army 3,299 - W911SR-15-2-0001/001112 RD Yes Department of Defense Army 20,386 - W911SR-15-2-0001/001212 RD Yes Department of Defense Army 250 - W911SR-16-C-004512 RD Yes Department of Defense Army 614,786 - W91CRB-04-D-001612 RD Yes Department of Defense Army (254,150) - W91CRB-04-D-0016/DO 005412 RD Yes Department of Defense Army 215,156 - W91CRB-11-D-0002 / D.O. 002112 RD Yes Department of Defense Army 77,864 69,349 W91CRB-11-D-0002 / D.O. 002012 RD Yes Department of Defense Army 123,876 33,475 W91CRB-11-D-0002 / 000412 RD Yes Department of Defense Army 1,966,846 1,817,664 W91CRB-11-D-0002 / D. O. 002612 RD Yes Department of Defense Army 466,979 - W91CRB-11-D0002 / D.O. 003112 RD Yes Department of Defense Army 210,447 8,000 W91CRB-11-D0002 / DO 003012 RD Yes Department of Defense Army 671,758 501,794 W91CRB-11-D0002 D.O. 003312 RD Yes Department of Defense Army (1) - W91CRB-11-D-0002-001412 RD Yes Department of Defense Army (1,293) - W91CRB-11-D-0002-001712 RD Yes Department of Defense Army 2,337 3,505 W91CRB-11-D-0002-0025 / D. O. 002512 RD Yes Department of Defense Central Command 1,675,969 537,289 N00178-14-D-7640 / FG0112 RD Yes Department of Defense Classified (2,884) - 06-001212 RD Yes Department of Defense Classified 210 - 07-674212 RD Yes Department of Defense Classified 590 - 08-7652

(Continued)

- 46 -




12 RD Yes Department of Defense Classified (202)$ -$ 09-095, Task Order 3712 RD Yes Department of Defense Classified 366 - 09-095, Task Order 3912 RD Yes Department of Defense Classified 21,012 - 09-126012 RD Yes Department of Defense Classified 41 - 09-C-000312 RD Yes Department of Defense Classified 163,570 - 09C510812 RD Yes Department of Defense Classified 1,652 - 10-1122-00312 RD Yes Department of Defense Classified 16 - 10-22313-00112 RD Yes Department of Defense Classified 8,879 - 10-2313-0212 RD Yes Department of Defense Classified 13 - 10-4791, TASK 00112 RD Yes Department of Defense Classified 131,517 - 10-4791, TASK 00412 RD Yes Department of Defense Classified (4,834) - 10-4791, TASK 00512 RD Yes Department of Defense Classified 491 - 10-4791, TASK 00612 RD Yes Department of Defense Classified 6,105 - 10-4791, TASK 00712 RD Yes Department of Defense Classified 120,102 - 10-4791, Task Order 1112 RD Yes Department of Defense Classified 229 - 10-4791, Task Order 1212 RD Yes Department of Defense Classified 43 - 10-4791-00912 RD Yes Department of Defense Classified 819,825 - 12-0158001-00312 RD Yes Department of Defense Classified 454 - 12-09170000112 RD Yes Department of Defense Classified 14,713 - 12-1219-G312 RD Yes Department of Defense Classified (3) - 12-158G001-00112 RD Yes Department of Defense Classified 769,463 - 12-158G001-00212 RD Yes Department of Defense Classified (1,388) - 12-2012003G01112 RD Yes Department of Defense Classified (997) - 12C513912 RD Yes Department of Defense Classified 798 - 14-1200-D-000254512 RD Yes Department of Defense Classified (614) - 14-14098G03112 RD Yes Department of Defense Classified 124,793 - 15-166G003-00112 RD Yes Department of Defense Classified 7,700,908 - 15-C-501112 RD Yes Department of Defense Classified 122,300 53,829 15-C-503312 RD Yes Department of Defense Classified 9,805,135 799,337 15-D-000112 RD Yes Department of Defense Classified 173 - 15-D-0001-000212 RD Yes Department of Defense Classified 8,239 - 16-0201623112 RD Yes Department of Defense Classified 5,580,257 534,649 16-15337G00812 RD Yes Department of Defense Classified 190,911 - 16-16048G00712 RD Yes Department of Defense Classified 1,199,828 - 16-16074G000812 RD Yes Department of Defense Classified 1,521,756 - 16-16152G00312 RD Yes Department of Defense Classified 33 - 16-C-501712 RD Yes Department of Defense Classified 95 - 2009-0333816-00412 RD Yes Department of Defense Classified 140,796 - 2011-1107060000512 RD Yes Department of Defense Classified 1,528,001 309,757 2014-321G00912 RD Yes Department of Defense Classified 566,545 - 2015-1506190000112 RD Yes Department of Defense Classified 507,433 - 3140412 RD Yes Department of Defense Classified 1,993,204 354 B14-177G00212 RD Yes Department of Defense Classified 503,408 31,236 B15-2015175G00112 RD Yes Department of Defense Classified 66,178 - B2T1-2015-OH12 RD Yes Department of Defense Classified 263 - Client Ref #07-1286-01312 RD Yes Department of Defense Classified 557,899 - Client Ref #11-11235G01112 RD Yes Department of Defense Classified 3,269,637 - Client Ref #11-160G00112 RD Yes Department of Defense Classified 1,585,847 - Client Ref# 10-47911, TASK 01312 RD Yes Department of Defense Classified (1,005) - CLM2014-0412 RD Yes Department of Defense Classified 777 - CONT NO 07-C-401412 RD Yes Department of Defense Classified 5,545 - CONT NO 08-C-6512 RD Yes Department of Defense Classified (4,705) - CONTR NO 09-797912 RD Yes Department of Defense Classified 66,148 - CONTR NO HHM402-09-C-011012 RD Yes Department of Defense Classified 1 - CONTR NO J-09-09512 RD Yes Department of Defense Classified 47,316 - CONTRACT NO. 09-125112 RD Yes Department of Defense Classified (32) - Contract No. 10-D-0008-000312 RD Yes Department of Defense Classified 147,543 30,925 DJF-14-1200-D-0002964 SIN 3-132.5112 RD Yes Department of Defense Classified 1,161,478 632,201 DJF-14-1200-D-000301112 RD Yes Department of Defense Classified 60,568 - DJF-14-1200-V-0002572 / DJF-14-1200-D-000082412 RD Yes Department of Defense Classified 403,767 - DJF-14-1200-V-0002572 / DJF-14-1200-D-000231712 RD Yes Department of Defense Classified 391,501 - DJF-14-1200-V-0002572 / DJF-14-1200-D-000246612 RD Yes Department of Defense Classified 164,298 - DJF-14-1200-V-0002572 / DJF-14-1200-D-000249512 RD Yes Department of Defense Classified 296,032 - DJF-14-1200-V-0002572 / DJF-14-1200-D-000258712 RD Yes Department of Defense Classified 567,958 - DJF-14-1200-V-0002572 / DJF-15-1200-D-000070112 RD Yes Department of Defense Classified 362,736 - DJF-14-1200-V-0002572 / DJF-15-1200-D-000300812 RD Yes Department of Defense Classified 8,880 - DJF-16-1200-D-000210212 RD Yes Department of Defense Classified (10) - DO S1D090952412 RD Yes Department of Defense Classified 1,475 - DO S1D090952912 RD Yes Department of Defense Classified (2) - F08650-01-C-0005/CLINS 0007AD, 0007AE, 0007AF, 0007AG12 RD Yes Department of Defense Classified 238,684 - FA7022-12-D-0002 / 001312 RD Yes Department of Defense Classified 116,097 - FA7022-12-D-0002 / 001412 RD Yes Department of Defense Classified 198,322 - FA7022-12-D-0002 / DO001212 RD Yes Department of Defense Classified 81,480 - FA7022-12-D-0002/001012 RD Yes Department of Defense Classified 77,476 - FA7022-12-D-0002/001112 RD Yes Department of Defense Classified 9,725 - FA7022-12-D-0002/001512 RD Yes Department of Defense Classified 4,611 - FA7022-12-D-0002/001612 RD Yes Department of Defense Classified (53) - FA7022-12-D-0002/DO 000912 RD Yes Department of Defense Classified 224 - FA7022-12-D-0002-000212 RD Yes Department of Defense Classified 134 - FA7022-12-D-0002-000412 RD Yes Department of Defense Classified (475) - FA7022-12-D-0002-000712 RD Yes Department of Defense Classified 1 - FA7022-12-D-0002-000812 RD Yes Department of Defense Classified (61) (59) FA8633-05-D-2002-015312 RD Yes Department of Defense Classified (4,278) (112,230) FA8633-05-D-2002-016312 RD Yes Department of Defense Classified 12,961 12,556 GS05Q14BMA001012 RD Yes Department of Defense Classified 474 1,176 GS-23F_0011L / GSQ0514BM0088 / A2223420712 RD Yes Department of Defense Classified 550,056 533,574 GS-23F-0011L

(Continued)

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12 RD Yes Department of Defense Classified (2,248)$ -$ GS-23F-0011L / 5TP5710020312 RD Yes Department of Defense Classified (224) - GS-23F-0011L / A2223433312 RD Yes Department of Defense Classified 1,510,706 1,466,806 GS-23F-0011L / GS05Q15BMA0023 / A2474699K12 RD Yes Department of Defense Classified 110,223 107,051 GS-23F-0011L / GS05Q15BMA002612 RD Yes Department of Defense Classified 96,495 93,798 GS-23F-0011L / GS05Q15BMA002712 RD Yes Department of Defense Classified 259,399 252,921 GS-23F-0011L / GS05Q15BMA002912 RD Yes Department of Defense Classified 39,376 38,360 GS-23F-0011L / GS05Q15BMA003112 RD Yes Department of Defense Classified 84,721 82,429 GS-23F-0011L / GS05Q15BMA003212 RD Yes Department of Defense Classified 56,915 55,666 GS-23F-0011L / GS05Q15BMA003312 RD Yes Department of Defense Classified 325,215 316,235 GS-23F-0011L / GS05Q15BMA003412 RD Yes Department of Defense Classified 7,207 7,415 GS-23F-0011L / GSQ0514BM016012 RD Yes Department of Defense Classified 25,282 24,703 GS-23F-0011L / GSQ0514BM016112 RD Yes Department of Defense Classified 1,186 1,025 GS-23F-0011L / ID0514008412 RD Yes Department of Defense Classified 256,856 250,743 GS-23F-0011L/5TP5710020312 RD Yes Department of Defense Classified (45,214) - GS-23F-0011L/HHM402-08-F-0109/SIN 871-112 RD Yes Department of Defense Classified (633) - GS-23F-0011L/HHM402-08-F-0138/SIN 871-112 RD Yes Department of Defense Classified (883) - GS-23F-8167H/HHM402-07-F-0248/SIN 874-1 FOLLOW-ON TO TG821430 AND -3212 RD Yes Department of Defense Classified (6,016) - GS-23F-8167H/W81XWH-06-A-0011/ORDER 0008/SIN 874-112 RD Yes Department of Defense Classified 2 - GS-23F-8167H/W81XWH-06-A-0011/ORDER 0013/SIN 874-112 RD Yes Department of Defense Classified (96,013) - HHM402-09-C-0040 Opt Year I Opt Year II12 RD Yes Department of Defense Classified 552 - HHM402-10-D-0008 - 002412 RD Yes Department of Defense Classified (8) - HHM402-10-D-0008-002312 RD Yes Department of Defense Classified 280,702 - HHM402-11-D-0028, 000112 RD Yes Department of Defense Classified 15 - HHM402-12-D-0019-000212 RD Yes Department of Defense Classified 44,109 - HHM402-12-D-0019-000312 RD Yes Department of Defense Classified 1,267,812 286,445 HHM402-15-C-006612 RD Yes Department of Defense Classified 668,432 167,633 HHM402-16-C-002212 RD Yes Department of Defense Classified (231) - J-09-095 / S3D090953812 RD Yes Department of Defense Classified (367) - J-09-095 / S3D090954012 RD Yes Department of Defense Classified (10,920) - Letter Contract 3120212 RD Yes Department of Defense Classified (3) - N00164-11-C-JT2412 RD Yes Department of Defense Classified (189) - OPP101294 / 09-1184 TO 001 MOD 312 RD Yes Department of Defense Classified (3,783) - SP0700-00-D-3180 / D.O. 078712 RD Yes Department of Defense Classified 532 - SP0700-00-D-3180/DO 0499/TAT 63112 RD Yes Department of Defense Classified 314 - SP0700-00-D-3180/DO 069012 RD Yes Department of Defense Classified 45 - SP0700-00-D-3180-076912 RD Yes Department of Defense Classified (4,936) - TYII-1004-EB12 RD Yes Department of Defense Classified 617,444 - TYII-200612 RD Yes Department of Defense Classified (3,365) - W911W5-10-D-0008/001012 RD Yes Department of Defense Classified 156,931 79,677 W911W5-10-D-0008/001312 RD Yes Department of Defense Classified (11,080) - W911W5-10-D-0008/DO 000112 RD Yes Department of Defense Classified 64,460 - W911W5-10-D-0008/DO 000212 RD Yes Department of Defense Classified (3,321) - W911W5-10-D-0008-000912 RD Yes Department of Defense Classified 126 - W911W5-10-D-0008-001212 RD Yes Department of Defense Classified 1,162 - W913JT-15-P-004712 RD Yes Department of Defense Combating Terrorism Technical Support Group 7,085 - W911NF-16-F-001212 RD Yes Department of Defense Defense Advanced Research Projects Agency (749) - FA8650-13-C-735112 RD Yes Department of Defense Defense Advanced Research Projects Agency (7,679) - HR0011-04-C-010412 RD Yes Department of Defense Defense Advanced Research Projects Agency 5,593,617 1,821,397 HR0011-13-C-002312 RD Yes Department of Defense Defense Information Systems Agency (5) - SP0700-00-D-3180/DO 0126/Mod 05/SA 1012 RD Yes Department of Defense Defense Intelligence Agency 26 - SP0700-00-D-3180/DO 0651/SUBSCRIPTION ACCOUNT 6312 RD Yes Department of Defense Defense Logistics Agency 52,717 52,717 W911NF-11-D-0001 / DO 0287 / TCN1406212 RD Yes Department of Defense Defense Logistics Agency 568,600 568,600 W911NF-11-D0001/DO 0356/TCN 1600112 RD Yes Department of Defense Joint ESTCP 66,140 - N39430-13-C-125612 RD Yes Department of Defense Joint ESTCP (448) - W911NF-11-D0001/DO 0212/TCN 1303712 RD Yes Department of Defense Joint IED Defeat Organization (110) - SP0700-00-D-3180/DO 0633/TAT 82312 RD Yes Department of Defense Joint Nonlethal Weapons Program Directorate 162 - W91CRB-11-D-0002-001612 RD Yes Department of Defense Joint Program Executive Office 9,725,540 3,928,781 FA8075-14-D0003 DO 000412 RD Yes Department of Defense Joint Program Executive Office 17,557,664 7,205,612 FA8075-14-D-0003 DO 000212 RD Yes Department of Defense Joint Program Executive Office 9,121,323 3,445,209 FA8075-14-D0003 DO 000512 RD Yes Department of Defense Joint Program Executive Office (136) - SP0700-00-D-3180 DO 078612 RD Yes Department of Defense Joint Program Executive Office 30,657,029 16,250,064 SP0700-00-D3180 DO079812 RD Yes Department of Defense Joint Program Executive Office (15,986) (968) SP0700-00-D-3180 / DO 0738 / CB 12-036312 RD Yes Department of Defense Joint Program Executive Office 785 - SP0700-00-D-3180/DO 0628/TAT 81012 RD Yes Department of Defense Joint Program Executive Office (5,345) - SP0700-00-D-3180/DO 0713/CB-11-004712 RD Yes Department of Defense Joint Program Executive Office (1,315) - SP0700-00-D-3180/DO 0716/CB-11-011112 RD Yes Department of Defense Joint Program Executive Office 390,298 390,298 W911NF-11-D-0001 / DO 0313 / TCN 15-00812 RD Yes Department of Defense Joint Program Executive Office 59,621 73,272 W911SE-07-D-0011 / DG0112 RD Yes Department of Defense Joint Program Executive Office 18,943,338 11,444,610 W911SR-15-C-000412 RD Yes Department of Defense Joint Program Office 1,672,394 - FA8075-14-D0003 / 000612 RD Yes Department of Defense Joint Program Office 1,657,269 587,853 GS-00Q140ADU402, W911QY-16-F-007412 RD Yes Department of Defense Joint Program Office (1,205) - SP0700-00-D-3180 / D.O. 0781 / TAT NO: CB-13-066212 RD Yes Department of Defense Joint Program Office (12,822) - SP0700-00-D-3180 / 074212 RD Yes Department of Defense Joint Program Office (262) - SP0700-00-D-3180 / D.O. 0785 / CB 13-070212 RD Yes Department of Defense Joint Program Office (277,704) - SP0700-00-D-3180/DO 066512 RD Yes Department of Defense Joint Program Office (13,006) - SP0700-00-D-3180/DO 0725/CB-11-014512 RD Yes Department of Defense Joint Program Office (18,237) - SP0700-00-D-3180/DO 0736/CB-12-035212 RD Yes Department of Defense Joint Program Office 6,536,266 3,443,805 SP0700-00-D-3180/DO 0799/CB-13-062412 RD Yes Department of Defense Joint Program Office (32) (29) SP0700-00-D-3180-0701 / CB 11-008512 RD Yes Department of Defense Joint Program Office 124 - W81XWH-11-D-0002/DO 000112 RD Yes Department of Defense Joint Program Office 4,389,343 1,520,121 W911SR-14-C-004312 RD Yes Department of Defense Joint Program Office 7,961,594 1,636,640 W911SR-15-C-001412 RD Yes Department of Defense Joint Program Office 781,908 92,600 W91CRB-11-D0002 / DO 0029

(Continued)

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12 RD Yes Department of Defense Joint Requirements Office 294,638$ 9,973$ N00178-05-D-4210 / PURCH REQUEST NO. 1300308195 / DO NO. FG0212 RD Yes Department of Defense Joint Requirements Office 13,497 - N00178-05-D-4210-FG01; Purchase Request #H91269-20004-1197-00012 RD Yes Department of Defense Joint Requirements Office 4,903,696 1,336,615 N00178-14-D-7640 DO EX0112 RD Yes Department of Defense Joint Requirements Office 387,150 327,420 N00189-15-C-003712 RD Yes Department of Defense Joint Requirements Office (10,991) - SP0700-00-D-3180 / D.O. 074412 RD Yes Department of Defense Joint Requirements Office 40,439 - SP0700-00-D-3180/DO 0543/TAT 68412 RD Yes Department of Defense National Guard Bureau (6,513) - SP0700-00-D-3180 / D.O. 080212 RD Yes Department of Defense Navy 419,648 5,231 11-C-388612 RD Yes Department of Defense Navy 186,960 - 16-C-453512 RD Yes Department of Defense Navy 247 - CONT NO N41756-08-C-303512 RD Yes Department of Defense Navy 7,141,748 4,177,438 FA8075-14-D0003 DO 000712 RD Yes Department of Defense Navy 463 - N00014-11-C-018312 RD Yes Department of Defense Navy 580 - N00014-12-C-069812 RD Yes Department of Defense Navy 1,793,379 - N00014-16-C-302512 RD Yes Department of Defense Navy (184) - N00189-09-D-Z067 / D.O. 002612 RD Yes Department of Defense Navy 409,819 160,596 N00189-09-D-Z067/003712 RD Yes Department of Defense Navy 173,120 94,131 N00189-09-D-Z067-004412 RD Yes Department of Defense Navy 317,513 46,983 N00189-15-C-Z07612 RD Yes Department of Defense Navy 647 - N39430-16-D-1802/ ESTS TO 00412 RD Yes Department of Defense Navy 2,758 - N39430-16-D-1802/000512 RD Yes Department of Defense Navy 1,672 - N39430-16-D-1802-000212 RD Yes Department of Defense Navy 61 - N39430-16-D-1802-000612 RD Yes Department of Defense Navy 603 - N39430-16-D-1802-000712 RD Yes Department of Defense Navy 1,211 - N39430-16-D-1802-000812 RD Yes Department of Defense Navy 1,456,638 161,961 N41756-04-D-4245 / 001712 RD Yes Department of Defense Navy 25,508 - N41756-04-D-4245/T.O. 000212 RD Yes Department of Defense Navy 506 - N41756-04-D-4245/T.O. 000712 RD Yes Department of Defense Navy 444 - N41756-04-D-4245/T.O. 000812 RD Yes Department of Defense Navy (2) - N41756-04-D-4245/T.O. 001012 RD Yes Department of Defense Navy (403) - N41756-04-D-4245-001512 RD Yes Department of Defense Navy (2,593) 4,864 N41756-04-D-4245-001612 RD Yes Department of Defense Navy (56) - N41756-13-C-306812 RD Yes Department of Defense Navy (192) - N41756-14-C-325512 RD Yes Department of Defense Navy (92) - N41756-14-C-331312 RD Yes Department of Defense Navy 1,050,195 50,498 N41756-14-G-4714 DO 000112 RD Yes Department of Defense Navy (1,130) - N41756-14-G-4714 DO000212 RD Yes Department of Defense Navy 35,986 - N41756-14-G-4714 DO/0003 REQ# PR15-13212 RD Yes Department of Defense Navy 746,787 - N41756-15-C-339612 RD Yes Department of Defense Navy 771,524 965 N41756-15-C-339712 RD Yes Department of Defense Navy 1,784 - N62473-07-D-4013, D.O. 004012 RD Yes Department of Defense Navy 741 - N62473-07-D-4013, D.O. 005012 RD Yes Department of Defense Navy 794 - N62473-07-D-4013, D.O. 005812 RD Yes Department of Defense Navy (154) - N62473-07-D-4013, D.O. 006412 RD Yes Department of Defense Navy (338) - N62473-07-D-4013, D.O. 007312 RD Yes Department of Defense Navy 45 - N62473-07-D-4013, D.O. 007512 RD Yes Department of Defense Navy 47,025 7,425 N62473-11-D-2228, Task Order 000312 RD Yes Department of Defense Navy 115 - N62583-11-D-0515 / 011012 RD Yes Department of Defense Navy 51 - N62583-11-D-0515 / DO 000112 RD Yes Department of Defense Navy 131 - N62583-11-D-0515 / DO 000212 RD Yes Department of Defense Navy 13 - N62583-11-D-0515 / DO 000412 RD Yes Department of Defense Navy 8 - N62583-11-D-0515 / DO 000512 RD Yes Department of Defense Navy 1,566,651 167,135 N62583-11-D-0515 / DO 000612 RD Yes Department of Defense Navy 32 - N62583-11-D-0515 / DO 000712 RD Yes Department of Defense Navy (329) - N62583-11-D-0515 / DO 000812 RD Yes Department of Defense Navy 14,341 10,795 N62583-11-D-0515 / DO 001012 RD Yes Department of Defense Navy 3 - N62583-11-D-0515 / DO 001112 RD Yes Department of Defense Navy 27,026 4,363 N62583-11-D-0515 / DO 001212 RD Yes Department of Defense Navy 40,859 1,307 N62583-11-D-0515 / DO 001312 RD Yes Department of Defense Navy 488 - N62583-11-D-0515 / DO 001512 RD Yes Department of Defense Navy 35,552 8,163 N62583-11-D-0515 / DO 001712 RD Yes Department of Defense Navy 281,432 172,306 N62583-11-D-0515 / DO 001812 RD Yes Department of Defense Navy 202 - N62583-11-D-0515 / DO 001912 RD Yes Department of Defense Navy 168 - N62583-11-D-0515 / DO 002012 RD Yes Department of Defense Navy 48 - N62583-11-D-0515 / DO 002112 RD Yes Department of Defense Navy 1,335 - N62583-11-D-0515 / DO 002212 RD Yes Department of Defense Navy (191) - N62583-11-D-0515 / DO 002312 RD Yes Department of Defense Navy 6 - N62583-11-D-0515 / DO 002412 RD Yes Department of Defense Navy 523,945 1,960 N62583-11-D-0515 / DO 002512 RD Yes Department of Defense Navy (475) - N62583-11-D-0515 / DO 002812 RD Yes Department of Defense Navy 3 - N62583-11-D-0515 / DO 002912 RD Yes Department of Defense Navy 68 - N62583-11-D-0515 / DO 003012 RD Yes Department of Defense Navy 6,222 980 N62583-11-D-0515 / DO 003112 RD Yes Department of Defense Navy 185,633 9,524 N62583-11-D-0515 / DO 003212 RD Yes Department of Defense Navy 8 - N62583-11-D-0515 / DO 003312 RD Yes Department of Defense Navy 50,493 653 N62583-11-D-0515 / DO 003412 RD Yes Department of Defense Navy 113 - N62583-11-D-0515 / DO 003612 RD Yes Department of Defense Navy (40) - N62583-11-D-0515 / DO 003712 RD Yes Department of Defense Navy 95 - N62583-11-D-0515 / DO 003812 RD Yes Department of Defense Navy 252 - N62583-11-D-0515 / DO 003912 RD Yes Department of Defense Navy 93,997 60,978 N62583-11-D-0515 / DO 004112 RD Yes Department of Defense Navy 139 - N62583-11-D-0515 / DO 0043

(Continued)

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12 RD Yes Department of Defense Navy 742$ -$ N62583-11-D-0515 / DO 004412 RD Yes Department of Defense Navy 127,495 163 N62583-11-D-0515 / DO 004512 RD Yes Department of Defense Navy 10,075 - N62583-11-D-0515 / DO 004612 RD Yes Department of Defense Navy 7,972 1,633 N62583-11-D-0515 / DO 004712 RD Yes Department of Defense Navy 16,464 980 N62583-11-D-0515 / DO 004812 RD Yes Department of Defense Navy (1) - N62583-11-D-0515 / DO 004912 RD Yes Department of Defense Navy (3,314) 327 N62583-11-D-0515 / DO 005012 RD Yes Department of Defense Navy (33) - N62583-11-D-0515 / DO 005112 RD Yes Department of Defense Navy (118) - N62583-11-D-0515 / DO 005212 RD Yes Department of Defense Navy 63,813 1,143 N62583-11-D-0515 / DO 005312 RD Yes Department of Defense Navy 2,013 - N62583-11-D-0515 / DO 005412 RD Yes Department of Defense Navy 1,609,998 454,236 N62583-11-D-0515 / DO 005512 RD Yes Department of Defense Navy 65,432 7,160 N62583-11-D-0515 / DO 005612 RD Yes Department of Defense Navy (259) - N62583-11-D-0515 / DO 005712 RD Yes Department of Defense Navy 26,051 6,118 N62583-11-D-0515 / DO 005812 RD Yes Department of Defense Navy (564) - N62583-11-D-0515 / DO 005912 RD Yes Department of Defense Navy 787,238 423,091 N62583-11-D-0515 / DO 006012 RD Yes Department of Defense Navy 1,653,296 172,461 N62583-11-D-0515 / DO 006112 RD Yes Department of Defense Navy 129,034 1,470 N62583-11-D-0515 / DO 006212 RD Yes Department of Defense Navy 105,098 2,308 N62583-11-D-0515 / DO 006312 RD Yes Department of Defense Navy 34,969 4,830 N62583-11-D-0515 / DO 006412 RD Yes Department of Defense Navy (366) - N62583-11-D-0515 / DO 006512 RD Yes Department of Defense Navy 201,306 68,409 N62583-11-D-0515 / DO 006612 RD Yes Department of Defense Navy 1,184,680 40,556 N62583-11-D-0515 / DO 006712 RD Yes Department of Defense Navy (701) - N62583-11-D-0515 / DO 006812 RD Yes Department of Defense Navy 64,775 1,470 N62583-11-D-0515 / DO 007012 RD Yes Department of Defense Navy 109,271 68,660 N62583-11-D-0515 / DO 007112 RD Yes Department of Defense Navy 7,258 653 N62583-11-D-0515 / DO 007212 RD Yes Department of Defense Navy 215,201 1,811 N62583-11-D-0515 / DO 007312 RD Yes Department of Defense Navy (169) - N62583-11-D-0515 / DO 007412 RD Yes Department of Defense Navy 147,767 90,957 N62583-11-D-0515 / DO 007512 RD Yes Department of Defense Navy 36,655 1,643 N62583-11-D-0515 / DO 007712 RD Yes Department of Defense Navy 11,400 817 N62583-11-D-0515 / DO 007812 RD Yes Department of Defense Navy 1,647,680 1,227,287 N62583-11-D-0515 / DO 008012 RD Yes Department of Defense Navy 511,491 49,935 N62583-11-D-0515 / DO 008312 RD Yes Department of Defense Navy 157,460 30,372 N62583-11-D-0515 / DO 008412 RD Yes Department of Defense Navy 188,274 72,808 N62583-11-D-0515 / DO 008512 RD Yes Department of Defense Navy 2,334,737 1,534,103 N62583-11-D-0515 / DO 008612 RD Yes Department of Defense Navy 34,529 28,033 N62583-11-D-0515 / DO 008712 RD Yes Department of Defense Navy 173,700 1,960 N62583-11-D-0515 / DO 008812 RD Yes Department of Defense Navy 115,860 72,708 N62583-11-D-0515 / DO 008912 RD Yes Department of Defense Navy 43,129 7,175 N62583-11-D-0515 / DO 009012 RD Yes Department of Defense Navy 219,749 114,714 N62583-11-D-0515 / DO 009112 RD Yes Department of Defense Navy 412,111 123,052 N62583-11-D-0515 / DO 009212 RD Yes Department of Defense Navy 77,655 1,158 N62583-11-D-0515 / DO 009312 RD Yes Department of Defense Navy 124,990 831 N62583-11-D-0515 / DO 009412 RD Yes Department of Defense Navy 33,834 505 N62583-11-D-0515 / DO 009512 RD Yes Department of Defense Navy 777,577 168 N62583-11-D-0515 / DO 009612 RD Yes Department of Defense Navy 35,521 1,143 N62583-11-D-0515 / DO 009712 RD Yes Department of Defense Navy 79,039 980 N62583-11-D-0515 / DO 009812 RD Yes Department of Defense Navy 102,786 5,086 N62583-11-D-0515 / DO 009912 RD Yes Department of Defense Navy 157,520 4,482 N62583-11-D-0515 / DO 010012 RD Yes Department of Defense Navy 206,854 668 N62583-11-D-0515 / DO 010112 RD Yes Department of Defense Navy 22,046 16,984 N62583-11-D-0515 / DO KB0112 RD Yes Department of Defense Navy 69,762 336 N62583-11-D-0515 / TO 006912 RD Yes Department of Defense Navy 756,580 13,504 N62583-11-D-0515 / TO 007612 RD Yes Department of Defense Navy 22,488 10,795 N62583-11-D-0515 / TO 007912 RD Yes Department of Defense Navy 9,098 327 N62583-11-D-0515 / TO 008112 RD Yes Department of Defense Navy 359,954 189,608 N62583-11-D-0515 / TO 008212 RD Yes Department of Defense Navy 109,120 84,793 N62583-11-D-0515/ DO 000312 RD Yes Department of Defense Navy 24,727 336 N62583-11-D-0515/DO 010412 RD Yes Department of Defense Navy 48,336 2,939 N62583-11-D-0515_TO 010912 RD Yes Department of Defense Navy 124,835 30,518 N62583-11-D-0515-0026 / DO 002612 RD Yes Department of Defense Navy 34,324 673 N62583-11-D-0515-010212 RD Yes Department of Defense Navy 131,084 80,956 N62583-11-D-0515-010312 RD Yes Department of Defense Navy 302,279 70,285 N62583-11-D-0515-010512 RD Yes Department of Defense Navy 44,900 20,156 N62583-11-D-0515-010612 RD Yes Department of Defense Navy 34,731 505 N62583-11-D-0515-010712 RD Yes Department of Defense Navy 123,364 65,721 N62583-11-D-0515-010812 RD Yes Department of Defense Navy 125 - SP0700-00-D-3180 / D.O. 0808 / CB 14-087812 RD Yes Department of Defense Navy 426 - SP0700-00-D-3180 / DO 0772 - TAT: CB 13-062112 RD Yes Department of Defense Navy 5,778,514 2,375,897 SP0700-00-D-3180 DO078012 RD Yes Department of Defense Navy (7,546) (1,985) SP0700-00-D-3180 / D.O. 075812 RD Yes Department of Defense Navy 862 - SP0700-00-D-3180 / D.O. 0775 / TAT NO: CB 12-033412 RD Yes Department of Defense Navy 438 - SP0700-00-D-3180 / D.O. 0788 / CB-13-071312 RD Yes Department of Defense Navy (865) - SP0700-00-D-3180 / D.O. 0804 / TAT NO: CB 13-076312 RD Yes Department of Defense Navy (64) - SP0700-00-D-3180 / D.O. 0805 / TAT NO: CB 14-080512 RD Yes Department of Defense Navy (41,230) - SP0700-00-D3180 070012 RD Yes Department of Defense Navy (20,885) - SP0700-00-D-3180 DO 074512 RD Yes Department of Defense Navy 436 - SP0700-00-D-3180/ DO 068312 RD Yes Department of Defense Navy (34,931) 548 SP0700-00-D-3180/0714

(Continued)

- 50 -




12 RD Yes Department of Defense Navy (9,930)$ (8,721)$ SP0700-00-D-3180/DO 0571/TAT 74912 RD Yes Department of Defense Navy 314 - SP0700-00-D-3180/DO 0631/TAT 81312 RD Yes Department of Defense Navy (33) - SP0700-00-D-3180/DO 0676/TAT 87612 RD Yes Department of Defense Navy (3,117) - SP0700-00-D-3180/DO 0741/CB-12-032312 RD Yes Department of Defense Navy (940) - SP0700-00-D-3180/DO 0800/CB-13-069112 RD Yes Department of Defense Navy (82) - SP0700-00-D-3180/DO 0813/CB-14-089312 RD Yes Department of Defense Navy 1,969 - SP0700-00-D-3180-076712 RD Yes Department of Defense Navy 1,612,791 330,368 SP0700-00-D-3180-077612 RD Yes Department of Defense Navy (4,383) - SP0700-00-D-3180-078312 RD Yes Department of Defense Navy 195 - SP0700-00-D-3180-079512 RD Yes Department of Defense Navy (7) - W911NF-07-D-0001/DO 0535/TCN 0832012 RD Yes Department of Defense Navy 7 - W911NF-07-D-0001/DO 0961/TCN 1022712 RD Yes Department of Defense Navy 40,338 40,338 W911NF-11-D-0001 / DO 0249 / TCN 1401612 RD Yes Department of Defense Navy 17,476 11,150 W911NF-11-D-0001 DO 0262 / TCN 1401512 RD Yes Department of Defense Navy 44,816 44,816 W911NF-11-D0001 DO 0327 / TCN 15-03012 RD Yes Department of Defense Navy 196,872 - W911NF-11-D0001 DO 0334 / TCN 15-04712 RD Yes Department of Defense Navy (5,333) - W911NF-11-D-0001/DO 0147/TCN 1206612 RD Yes Department of Defense Navy 250 - W911NF-11-D-0001/DO 0171/TCN 1208612 RD Yes Department of Defense Navy (23) - W911NF-11-D-0001/DO 0177/TCN 1300112 RD Yes Department of Defense Navy 7,350 7,350 W911NF-11-D-0001/DO 0222/TCN 1305612 RD Yes Department of Defense Navy 7,109 - W911NF-11-D-0001/DO 0246/TCN 1401312 RD Yes Department of Defense Navy 46,922 46,922 W911NF-11-D-0001/DO 0278/TCN 14-03212 RD Yes Department of Defense Navy 30,287 30,287 W911NF-11-D-0001/DO 0363/TCN 1600912 RD Yes Department of Defense Navy 681,308 38,597 W911QY-14-C-005112 RD Yes Department of Defense Navy 102 - W91CRB-09-C-002512 RD Yes Department of Defense Navy 766,555 74,666 W91CRB-11-D-0002 / D.O. 003212 RD Yes Department of Defense Navy (2) - W91CRB-11-D-0002-001112 RD Yes Department of Defense Navy 373 - W91CRB-11-D-0002-001512 RD Yes Department of Defense Office of the Deputy Assistant Secretary 149,424 97,320 W911SR-15-C-001712 RD Yes Department of Defense Office of the Secretary (212) - SP0700-00-D-3180/ D.O. 0717 / CB 11-021812 RD Yes Department of Defense Pentagon Force Protection Agency 46 - SP070000D3180/ DO 081112 RD Yes Department of Defense Pentagon Force Protection Agency 656 - SP0700-00-D-3180/DO 0126/Mod 21/SA 2412 RD Yes Department of Defense Pentagon Force Protection Agency (2) - SP0700-00-D-3180/DO 0662/TAT 77812 RD Yes Department of Defense Pentagon Force Protection Agency 828 - SP0700-00-D-3180/DO 0704/CB 11-009912 RD Yes Department of Defense Pentagon Force Protection Agency 1,284 - SP0700-00-D-3180/DO 0734/CB-11-027612 RD Yes Department of Defense Pentagon Force Protection Agency (666) - SP0700-00-D-3180/DO 0810/CB 14-088612 RD Yes Department of Defense Pentagon Force Protection Agency 4,928 - W91CRB-11-D-0002-001812 RD Yes Department of Defense Property and Fiscal Office 2,689 - W91364-08-P-044612 RD Yes Department of Defense Special Operations Command 486,909 - H92222-16-C001712 RD Yes Department of Defense Special Operations Command 132 - H92236-10-P-217112 RD Yes Department of Defense Special Operations Command 90,776 - H92236-11-D-0002-000712 RD Yes Department of Defense Special Operations Command (80) - H92236-11-D-0002-000812 RD Yes Department of Defense Special Operations Command 211,054 - H92236-11-D-0002-001012 RD Yes Department of Defense Special Operations Command 99,903 - H92236-11-D-0002-001112 RD Yes Department of Defense Special Operations Command 334 - N41756-07-G-3034, ORDER NO. 001012 RD Yes Department of Defense Special Operations Command 99,773 - W911NF-11-D-0001/DO 0366/TCN 1601212 RD Yes Department of Defense Special Operations Command (5) - W91CRB-04-D-0016/DO 004312 RD Yes Department of Defense Special Operations Command 235 - W91CRB-04-D-0016/DO 005612 RD Yes Department of Defense Special Operations Command 1,365,317 185,214 W91CRB-11-D0002 DO 002812 RD Yes Department of Defense Special Operations Command (26) (37) W91CRB-11-D-0002-000912 RD Yes Department of Defense Special Operations Command 433,276 - W91CRB-11-D-0002-001912 RD Yes Department of Defense Technical Information Center (1) - SP070000D3180 DO 077112 RD Yes Department of Defense Technical Information Center 564 - SP0700-00-D-3180 DO079712 RD Yes Department of Defense Technical Information Center 458 - SP070000D3180 / DO 080312 RD Yes Department of Defense Technical Information Center 372 - SP0700-00-D-3180/DO 0126/Mod 08/SA 1212 RD Yes Department of Defense Technical Information Center 1,665,231 - SP0700-00-D-3180/GPMA12 RD Yes Department of Defense Threat Reduction Agency (1,204) - HDTRA1-13-C-008512 RD Yes Department of Defense Threat Reduction Agency 21,028 - HDTRA1-15-C-002912 RD Yes Department of Defense Threat Reduction Agency 2 - SP0700-00-D-3180/DO 0126/Mod 14/SA 1612 RD Yes Department of Defense Threat Reduction Agency (51) - SP0700-00-D-3180/DO 0593/TAT 76912 RD Yes Department of Defense Threat Reduction Agency 3,528 - W81XWH-05-D-0001/DO 001212 RD Yes Department of Defense Threat Reduction Agency 4,496 - W81XWH-11-D-0002 TO 000512 RD Yes Department of Defense Threat Reduction Agency (1) - W81XWH-11-D-0002/DO 000612 RD Yes Department of Defense Threat Reduction Agency (298) - W81XWH-11-D-0002/DO 000712 RD Yes Department of Defense US Northern Command (411) - SP0700-00-D-3180 / D.O. 0760 / CB-12-053712 RD Yes Department of Defense US Northern Command 98 - SP0700-00-D-3180/DO 0755/CB-12-034212 RD Yes Department of Defense US Strategic Command 563,446 417,537 SP0700-00-D-3180 / D.O. 0768 / TAT: CB 12-036812 RD Yes Department of Defense Washington Headquarters Service (1,261) - SP0700-00-D-3180 / DO 0752 / CB-12-0390_WHS_EM12 RD Yes Department of Defense Washington Headquarters Service 188 - SP0700-00-D-3180/DO 0126/Mod 35/SA 4012 RD Yes Department of Defense Washington Headquarters Service 41 - SP0700-00-D-3180/DO 0126/Mod 40/SA 4712 RD Yes Department of Defense Washington Headquarters Service (775) - SP0700-00-D-3180/DO 0697/TAT 89712 RD Yes Department of Defense Washington Headquarters Service (727) - SP0700-00-D-3180/DO 0812/CB 14-087512 RD Yes Department of Defense Washington Headquarters Service 242,872 137,430 W911SR-15-C-0018

$288,668,552 $111,801,302

16 RD Yes Department of Justice Federal Bureau of Investigation (760) - GS-023-8167H / DJF-14-1200-G-0010418 - SIN 874-116 RD Yes Department of Justice Federal Bureau of Investigation (98) - GS-23F-8167H/ORDER DJF-13-1200-G-0000400/T.O. NO. 10/SIN 874-116 RD Yes Department of Justice National Institute of Justice 575,701 28,655 2014-DN-BX-K023

$574,843 $28,655

17 RD Yes Department of Labor Office of Job Corps $59,849 $47,469 DOL-ETA-15-C-0051

(Continued)

- 51 -




20 20.200 Yes Department of Transportation Highway Research and Development Program (620)$ -$ DTFH6114H00001 CFDA No 20.20020 RD Yes Department of Transportation Federal Aviation Administration 15,002 - DTFACT-08-A-00001/P.O. APSC00816/P.O. R100053220 RD Yes Department of Transportation Federal Aviation Administration 303,284 - DTFACT-13-A-0000520 RD Yes Department of Transportation Federal Highway Administration 251 - DTFH61-06-D-00007 / ORDER T11010 WO BA 07-09320 RD Yes Department of Transportation Federal Highway Administration (1) - DTFH61-06-D-00007/ORDER 07-T-00704/WO BA07-02920 RD Yes Department of Transportation Federal Highway Administration 53,174 32,364 DTFH61-06-D-00007/ORDER 07-T-08002/WO BA07-04120 RD Yes Department of Transportation Federal Highway Administration 2,029 - DTFH61-06-D-00007/ORDER 07-T-08006/WO BA07-04620 RD Yes Department of Transportation Federal Highway Administration 808 - DTFH61-06-D-00007/ORDER 07-T-08010/WO BA07-05120 RD Yes Department of Transportation Federal Highway Administration 5 - DTFH61-06-D-00007/ORDER 07-T-08012/WO BA07-05320 RD Yes Department of Transportation Federal Highway Administration 209 - DTFH61-06-D-00007/ORDER 07-T-08013/WO BA07-04820 RD Yes Department of Transportation Federal Highway Administration (2) - DTFH61-06-D-00007/ORDER 07-T-09007/WO BA07-05920 RD Yes Department of Transportation Federal Highway Administration 194 - DTFH61-06-D-00007/ORDER 07-T-09010/WO BA07-06020 RD Yes Department of Transportation Federal Highway Administration 592 - DTFH61-06-D-00007/ORDER 07-T-09012/WO BA07-07120 RD Yes Department of Transportation Federal Highway Administration 94 - DTFH61-06-D-00007/ORDER 07-T-09013/WO BA07-06620 RD Yes Department of Transportation Federal Highway Administration 83 - DTFH61-06-D-00007/ORDER 07-T-09015/WO BA07-06420 RD Yes Department of Transportation Federal Highway Administration (34) - DTFH61-06-D-00007/ORDER 07-T-09019/WO BA07-06820 RD Yes Department of Transportation Federal Highway Administration 2,645 - DTFH61-06-D-00007/ORDER 07-T-09020/WO BA07-06920 RD Yes Department of Transportation Federal Highway Administration 257 - DTFH61-06-D-00007/ORDER NO. T-06-007/ WORK ORDER NO. BA07-00720 RD Yes Department of Transportation Federal Highway Administration 402 - DTFH61-06-D-00007/ORDER T-06-013/WO BA07-01320 RD Yes Department of Transportation Federal Highway Administration 399 - DTFH61-06-D-00007/ORDER T-06-015/WO BA07-01520 RD Yes Department of Transportation Federal Highway Administration 111 - DTFH61-06-D-00007/ORDER T-07-002/WO BA07-02820 RD Yes Department of Transportation Federal Highway Administration 1,259 - DTFH61-06-D-00007/ORDER -T10001/WO BA07-07620 RD Yes Department of Transportation Federal Highway Administration 7 - DTFH61-06-D-00007/ORDER -T10003/WO BA07-07820 RD Yes Department of Transportation Federal Highway Administration 80 - DTFH61-06-D-00007/ORDER -T10004/WO BA07-07920 RD Yes Department of Transportation Federal Highway Administration 24 - DTFH61-06-D-00007/ORDER -T10007/WO BA07-08220 RD Yes Department of Transportation Federal Highway Administration 1,969 - DTFH61-06-D-00007/ORDER T11001/WO BA07-08920 RD Yes Department of Transportation Federal Highway Administration 272 - DTFH61-06-D-00007/ORDER T11005/WO BA07-09420 RD Yes Department of Transportation Federal Highway Administration 1,291 - DTFH61-06-D-00007/TO BA06-00120 RD Yes Department of Transportation Federal Highway Administration 5 - DTFH61-06-D-00007-T.O.11006 WO BA07-09620 RD Yes Department of Transportation Federal Highway Administration 37 - DTFH61-06-D-00007-T11008-WO BA07-09720 RD Yes Department of Transportation Federal Highway Administration 1,023 - DTFH61-06-D00007-T1200320 RD Yes Department of Transportation Federal Highway Administration 3,273 - DTFH61-06-D-00007-T1200420 RD Yes Department of Transportation Federal Highway Administration (5) - DTFH61-06-D0007/ORDER T11004/WO BA07-09220 RD Yes Department of Transportation Federal Highway Administration (80) - DTFH61-06-D0007-T11007-WO BA07-09520 RD Yes Department of Transportation Federal Highway Administration 5,877 - DTFH61-07-D-00029/ORDER NO. DTFH61-07-D-00029-T-0800120 RD Yes Department of Transportation Federal Highway Administration 1,726 - DTFH61-07-D-00029/T-0800220 RD Yes Department of Transportation Federal Highway Administration (1,403) - DTFH61-08-D-00032 / TASK ORDER 420 RD Yes Department of Transportation Federal Highway Administration 18 - DTFH61-08-D-00032 Project: Warning Sign Legends For Emergency Incidents20 RD Yes Department of Transportation Federal Highway Administration 198,846 181,420 DTFH61-08-D-00032-T-1200820 RD Yes Department of Transportation Federal Highway Administration 4,685 - DTFH61-08-D-00032-T1301020 RD Yes Department of Transportation Federal Highway Administration (196) - DTFH61-08-D-00032-T-1301120 RD Yes Department of Transportation Federal Highway Administration 2,013 - DTFH61-11-C-0003920 RD Yes Department of Transportation Federal Highway Administration 379,591 104,075 DTFH61-12-D-00040 - T-501020 RD Yes Department of Transportation Federal Highway Administration 738,760 - DTFH61-12-D-00040 / DO 501520 RD Yes Department of Transportation Federal Highway Administration 204,638 27,642 DTFH61-12-D-00040 / DO 501620 RD Yes Department of Transportation Federal Highway Administration 52,564 - DTFH61-12-D-00040-T-1300220 RD Yes Department of Transportation Federal Highway Administration 10,799 - DTFH61-12-D-00040-T-1300420 RD Yes Department of Transportation Federal Highway Administration 107,230 29,061 DTFH61-12-D-00040-T-1300520 RD Yes Department of Transportation Federal Highway Administration (266) - DTFH61-12-D-00040-T-1300620 RD Yes Department of Transportation Federal Highway Administration 324,944 141,805 DTFH61-12-D-00040-T-1300720 RD Yes Department of Transportation Federal Highway Administration 601,214 53,963 DTFH61-12-D-00040-T-1300820 RD Yes Department of Transportation Federal Highway Administration 52,681 7,791 DTFH61-12-D-00040-T1400120 RD Yes Department of Transportation Federal Highway Administration 3,423 1,817 DTFH61-12-D-00040-T-500920 RD Yes Department of Transportation Federal Highway Administration 127,616 34,344 DTFH61-12-D-00040-T-501120 RD Yes Department of Transportation Federal Highway Administration 2,006 - DTFH61-12-D-0004620 RD Yes Department of Transportation Federal Highway Administration 426,209 177,986 DTFH61-12-D-00046 Order 502220 RD Yes Department of Transportation Federal Highway Administration 111,803 83,995 DTFH61-12-D-00046 - T-1401120 RD Yes Department of Transportation Federal Highway Administration 7,812 6,903 DTFH61-12-D-00046 - T-501920 RD Yes Department of Transportation Federal Highway Administration 212,385 138,401 DTFH61-12-D-00046-T-1300220 RD Yes Department of Transportation Federal Highway Administration 6,963 4,749 DTFH61-12-D-00046-T-1300420 RD Yes Department of Transportation Federal Highway Administration 20,897 8,045 DTFH61-12-D-00046-T-14009 - T-1303320 RD Yes Department of Transportation Federal Highway Administration 433,574 2,793 DTFH61-12-D-00046-T-501520 RD Yes Department of Transportation Federal Highway Administration (4) - DTFH61-12-F-0006020 RD Yes Department of Transportation Federal Highway Administration 1,961 1,922 DTFH61-13-D00012 DO 500820 RD Yes Department of Transportation Federal Highway Administration 91,364 12,899 DTFH61-16-C-0000320 RD Yes Department of Transportation Federal Motor Carrier Safety Admin 31 - GS-23F-0011L / Order No. DTMC75-11-F-00045/SIN 871-120 RD Yes Department of Transportation Federal Transit Administration 579 - DTFH61-13-D-00012/ORDER NO. 000320 RD Yes Department of Transportation Federal Transit Administration 5,401 - DTFH61-13-D-00012; Task Order 501020 RD Yes Department of Transportation Federal Transit Administration 2,078,095 453,101 Project ID: OH-26-7252-0020 RD Yes Department of Transportation National Highway Traffice Safety Admin 1,344 - DTNH22-08-D-0080 / TO 000120 RD Yes Department of Transportation National Highway Traffice Safety Admin (37,130) (37,130) DTNH22-08-D-0080 / TO 000220 RD Yes Department of Transportation National Highway Traffice Safety Admin 63,727 - DTNH22-11-D-00229 / 000120 RD Yes Department of Transportation National Highway Traffice Safety Admin 113,170 2,262 DTNH22-11-D-00229 / 000220 RD Yes Department of Transportation National Highway Traffice Safety Admin 148,575 - DTNH22-11-D-00229L / 000420 RD Yes Department of Transportation National Highway Traffice Safety Admin 167,866 55,248 DTNH22-14-C-0038920 RD Yes Department of Transportation National Highway Traffice Safety Admin 162,113 137,498 DTNH2214D00327L / 0002

20 RD Yes Department of Transportation Transportation Research Board 125,672 5,425 Contract No. SHRP SD-03 / Project/Activity 031031 510320 RD Yes Department of Transportation Transportation Research Board 14,303 - HR 03-12420 RD Yes Department of Transportation Transportation Research Board 4,962 - HR-20-07(334)20 RD Yes Department of Transportation Transportation Research Board (790) - NAS 132, T.O.N. 01, SUBCONTRACT HR 19-08 TO DOT 6508-00120 RD Yes Department of Transportation Transportation Research Board 17 - SHRP S-07(F)20 RD Yes Department of Transportation Volpe Transportation Systems Center 8,989 - DTRT57-10-D-30016 / ORDER NO. 0015

$7,374,691 $1,668,379

(Continued)

- 52 -




43 43.001 Yes National Aeronautics & Space Administration Science Funds (146)$ (3)$ NNX13AN71G43 43.001 Yes National Aeronautics & Space Administration Science Funds 59,391 - NNX15AU42G43 RD Yes National Aeronautics & Space Administration Ames Research Center 5,553 - NNA06AA29C/CTO 543 RD Yes National Aeronautics & Space Administration Ames Research Center 2,052 - NNA06AA29C/CTO 743 RD Yes National Aeronautics & Space Administration Glenn Research Center 54,321 - NNC15VH64P43 RD Yes National Aeronautics & Space Administration Jet Propulsion Lab 1,512 - NNN07AA01C43 RD Yes National Aeronautics & Space Administration Johnson Space Center 2,387 - GS-23F-0011L / NNJ14HT01D / SIN 871-4

$125,070 ($3)

47 47.074 Yes National Science Foundation Biological Sciences 29,520,172 97,270 DBI-163869547 47.074 Yes National Science Foundation Biological Sciences 14,234,611 - DBI-163869647 47.074 Yes National Science Foundation Biological Sciences 5,365,609 - 102980847 47.074 Yes National Science Foundation Biological Sciences 7,588 - 133994647 47.074 Yes National Science Foundation Biological Sciences 26,689 - 132159547 47.074 Yes National Science Foundation Biological Sciences 1,262,114 - 1246537

$50,416,783 $97,270

66 66.931 Yes Environmental Protection Agency International Financial Assistance Projects 228,203 4,226 Grant Number X83617201A66 RD Yes Environmental Protection Agency Air Quality Planning and Standards Office 215,841 - Contract No. GS-10F-0275K; Order No. EP-G11D-00028 - SIN 899-166 RD Yes Environmental Protection Agency Air Quality Planning and Standards Office 40 - EP-C-05-030, OPTION PERIOD IV, WA 4-1566 RD Yes Environmental Protection Agency Air Quality Planning and Standards Office 730,125 65,821 EP-D-13-005 Option Period III66 RD Yes Environmental Protection Agency Air Quality Planning and Standards Office 215,371 14,769 EP-D-13-005/WA Option Period II66 RD Yes Environmental Protection Agency Air Quality Planning and Standards Office (415) - EP-D-13-005/WA 2-01, 2-02, 2-03, 2-04, 2-05, 2-06, 2-07, 2-08 Option Period I66 RD Yes Environmental Protection Agency Homeland Security Research Center (1,256) - EP-C-10-001/WA Option Period V66 RD Yes Environmental Protection Agency Homeland Security Research Center (4) - EP-C-10-001/WA 4-15 Option Period IV66 RD Yes Environmental Protection Agency Homeland Security Research Center (3) - EP-C-10-001/WA 4-30 Option Period IV66 RD Yes Environmental Protection Agency Homeland Security Research Center (18) - EP-C-10-001/WA1-06 OPTION PERIOD I66 RD Yes Environmental Protection Agency Homeland Security Research Center 12,008 - EP-C-11-038 / TO 0021 PR-ORD-14-0091966 RD Yes Environmental Protection Agency Homeland Security Research Center 72,203 - EP-C-11-038/TO 0022 PR-ORD-14-0083866 RD Yes Environmental Protection Agency Homeland Security Research Center 232,044 - EP-C-11-038/TO 0027 PR-ORD-14-0274366 RD Yes Environmental Protection Agency Homeland Security Research Center 35,333 - EP-C-15-002 / 000966 RD Yes Environmental Protection Agency Homeland Security Research Center 225,262 - EP-C-15-002 /TO 000266 RD Yes Environmental Protection Agency Homeland Security Research Center 24,216 - EP-C-15-002/000666 RD Yes Environmental Protection Agency Homeland Security Research Center 1,575 - EP-C-15-002/001266 RD Yes Environmental Protection Agency Homeland Security Research Center 51,008 - EP-C-15-002/TO 000166 RD Yes Environmental Protection Agency Homeland Security Research Center 79,472 - EP-C-15-002/TO 000366 RD Yes Environmental Protection Agency Homeland Security Research Center 66,622 - EP-C-15-002/TO 000766 RD Yes Environmental Protection Agency Homeland Security Research Center 67,440 - EP-C-15-002/TO 000866 RD Yes Environmental Protection Agency Homeland Security Research Center 14,707 - EP-C-15-002-001066 RD Yes Environmental Protection Agency Homeland Security Research Center 8,008 - EP-W-04-021, OPTION PERIOD IV, WA 4-1066 RD Yes Environmental Protection Agency Homeland Security Research Center (291) - SP0700-00-D-3180/DO 0729/CB-11-023266 RD Yes Environmental Protection Agency National Center for Environmental Assessment 1,339 - EP-C-05-030, OPTION PERIOD IV, WA 4-0766 RD Yes Environmental Protection Agency National Center for Environmental Assessment 19 - EP-C-05-030, OPTION PERIOD IV, WA 4-1766 RD Yes Environmental Protection Agency National Center for Environmental Assessment 25 - EP-W-04-021, OPTION PERIOD IV, WA 4-1366 RD Yes Environmental Protection Agency National Exposure Research Lab 1 - EP-C-05-030, OPTION PERIOD IV, WA 4-1866 RD Yes Environmental Protection Agency National Exposure Research Lab 72 - EP-C-05-057, TASK ORDER NO. 007766 RD Yes Environmental Protection Agency National Exposure Research Lab 454 - EP-D-04-068, OPTION IV, WA 5166 RD Yes Environmental Protection Agency National Exposure Research Lab 2,881 - EP-D-04-068, OPTION IV, WA 5266 RD Yes Environmental Protection Agency National Exposure Research Lab 2,187 - EP-D-04-068, OPTION IV, WA 5366 RD Yes Environmental Protection Agency National Exposure Research Lab 3,019 - EP-D-04-068, OPTION IV, WA 5466 RD Yes Environmental Protection Agency National Exposure Research Lab 1,552 - EP-D-04-068, OPTION IV, WA 5566 RD Yes Environmental Protection Agency Oceans and Coastal Protection 213,609 - EP-C-14-017/Option Period 266 RD Yes Environmental Protection Agency Oceans and Coastal Protection 740,917 251,317 EP-C-14-017/WA 1- Option Period I66 RD Yes Environmental Protection Agency Oceans and Coastal Protection (465) - EP-C-14-017/WA 0-11 0-04 0-07 0-12 Base Period66 RD Yes Environmental Protection Agency Office of Pollution Prevention (7) - EP-W-04-021, OPTION PERIOD IV, PRGM MGT66 RD Yes Environmental Protection Agency Office of Pollution Prevention (8) - EP-W-04-021, OPTION PERIOD IV, WA 4-0166 RD Yes Environmental Protection Agency Office of Pollution Prevention (21) - EP-W-04-021, OPTION PERIOD IV, WA 4-0266 RD Yes Environmental Protection Agency Office of Pollution Prevention (2) - EP-W-04-021, OPTION PERIOD IV, WA 4-0366 RD Yes Environmental Protection Agency Office of Pollution Prevention (1) - EP-W-04-021, OPTION PERIOD IV, WA 4-0466 RD Yes Environmental Protection Agency Office of Pollution Prevention (6) - EP-W-04-021, OPTION PERIOD IV, WA 4-0566 RD Yes Environmental Protection Agency Office of Pollution Prevention (1) - EP-W-04-021, OPTION PERIOD IV, WA 4-0866 RD Yes Environmental Protection Agency Office of Pollution Prevention (4) - EP-W-04-021, OPTION PERIOD IV, WA 4-1166 RD Yes Environmental Protection Agency Office of Pollution Prevention 196 - EP-W-04-021, OPTION PERIOD IV, WA 4-1266 RD Yes Environmental Protection Agency Office of Pollution Prevention 607 - EP-W-04-021, OPTION PERIOD IV, WA 4-1466 RD Yes Environmental Protection Agency Office of Pollution Prevention 9,791 - EP-W-04-021, OPTION PERIOD IV, WA 4-1666 RD Yes Environmental Protection Agency Office of Pollution Prevention 223 - EP-W-04-021, OPTION PERIOD IV, WA 4-1766 RD Yes Environmental Protection Agency Office of Pollution Prevention 92 - EP-W-04-021, OPTION PERIOD IV, WA 4-1866 RD Yes Environmental Protection Agency Office of Pollution Prevention 15 - EP-W-09-024 / WA 2-12/OPT PERIOD II66 RD Yes Environmental Protection Agency Office of Pollution Prevention 579 - EP-W-09-024, WA 0-1466 RD Yes Environmental Protection Agency Office of Pollution Prevention 4,518 - EP-W-09-024/WA 4-03/Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention (6) - EP-W-09-024/WA 4-11 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention (25) - EP-W-09-024/WA 4-12 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention (73) - EP-W-09-024/WA 4-14 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention (517) - EP-W-09-024/WA 4-15 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention 5,786 - EP-W-09-024/WA 4-16 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention 198 - EP-W-09-024/WA 4-1766 RD Yes Environmental Protection Agency Office of Pollution Prevention 1,855 - EP-W-09-024/WA 4-1866 RD Yes Environmental Protection Agency Office of Pollution Prevention 6 - EP-W-09-024/WA2-03/OPT PERIOD II66 RD Yes Environmental Protection Agency Office of Pollution Prevention (39) - EP-W-09-024/WA4-01 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention 1,029 - EP-W-09-024/WA4-02 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention 12,836 11,640 EP-W-09-024/WA4-04 Option Period IV

(Continued)




66 RD Yes Environmental Protection Agency Office of Pollution Prevention 43$ -$ EP-W-09-024/WA4-05 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention (89) - EP-W-09-024/WA4-10 Option Period IV66 RD Yes Environmental Protection Agency Office of Pollution Prevention 115,210 - EP-W-16-017 - Base Year66 RD Yes Environmental Protection Agency Office of Research and Development 16,159 - EP-C-11-038/TO 001666 RD Yes Environmental Protection Agency Office of Research and Development 259,988 - EP-C-11-038/TO 0023 PR-ORD-14-0095166 RD Yes Environmental Protection Agency Office of Science Coordination (254) - EP-W-06-032/WA 5-01 OPTION IV66 RD Yes Environmental Protection Agency Office of Science Coordination (232) - EP-W-06-032/WA 5-02 OPTION IV66 RD Yes Environmental Protection Agency Office of Science Coordination 5 - EP-W-06-032/WA 5-06 OPTION IV66 RD Yes Environmental Protection Agency Office of Science Coordination 73,305 4,860 EP-W-11-063 / Task Order 001166 RD Yes Environmental Protection Agency Office of Science Coordination 18,328 - OPP119006_EP-W-11-063/Task order 001466 RD Yes Environmental Protection Agency Office of Solid Waste and Emergency Response 34,887 - EP-C-15-002/000466 RD Yes Environmental Protection Agency Office of Water 232 - EP-C-05-030, OPTION PERIOD IV, WA 4-0166 RD Yes Environmental Protection Agency Office of Water 620 - EP-C-05-030, OPTION PERIOD IV, WA 4-1166 RD Yes Environmental Protection Agency Office of Water 60 - EP-C-05-030, OPTION PERIOD IV, WA 4-1666 RD Yes Environmental Protection Agency Office of Water 1,338 - EP-C-05-030, OPTION PERIOD IV, WA 4-1966 RD Yes Environmental Protection Agency Office of Water 1,696 - EP-C-05-030, OPTION PERIOD IV, WA 4-2066 RD Yes Environmental Protection Agency Office of Water 57 - EP-C-05-030, OPTION PERIOD IV, WA 4-2166 RD Yes Environmental Protection Agency Office of Water (3) - EP-W-04-021, OPTION PERIOD IV, WA 4-0766 RD Yes Environmental Protection Agency Region Two Assessment Office (1) - EP-W-04-021, OPTION PERIOD IV, WA 4-0966 RD Yes Environmental Protection Agency Region Two Assessment Office 17,551 - EP-W-04-021, OPTION PERIOD IV, WA 4-1566 RD Yes Environmental Protection Agency Risk Management Research Lab 246 - EP-C-05-057/003266 RD Yes Environmental Protection Agency Risk Management Research Lab 109 - EP-C-11-038 / Task Order 0018 / PR-ORD-14-0044366 RD Yes Environmental Protection Agency Risk Management Research Lab (708) - EP-C-11-038 / Task Order 0024 PR-ORD-14-0197166 RD Yes Environmental Protection Agency Risk Management Research Lab 400,561 - EP-C-11-038 Task Order 3166 RD Yes Environmental Protection Agency Risk Management Research Lab 32,285 14,381 EP-C-11-038/TASK ORDER 0001 PR-ORD-12-0021266 RD Yes Environmental Protection Agency Risk Management Research Lab (2) - EP-C-11-038/Task Order 0011/PR-ORD-12-0277066 RD Yes Environmental Protection Agency Risk Management Research Lab 55,892 - EP-C-11-038/TO 0017 PR-ORD-14-0024666 RD Yes Environmental Protection Agency Risk Management Research Lab 19,724 7,646 EP-C-11-038/TO 0019 PR-ORD-14-0048466 RD Yes Environmental Protection Agency Risk Management Research Lab (1) - EP-C-11-038/TO 0020 PR-ORD-14-0087866 RD Yes Environmental Protection Agency Risk Management Research Lab 25,234 - EP-C-11-038/TO 0025 PR-ORD-14-0172066 RD Yes Environmental Protection Agency Risk Management Research Lab 2,119 550 EP-C-11-038/TO 0026 PR-ORD-14-0157766 RD Yes Environmental Protection Agency Risk Management Research Lab 459,064 - EP-C-11-038/TO 0028 PR-ORD-14-0224566 RD Yes Environmental Protection Agency Risk Management Research Lab 616,767 - EP-C-11-038/TO 0030 PR-ORD-15-0049766 RD Yes Environmental Protection Agency Risk Management Research Lab 69,835 - EP-C-11-038/TO 29 PR-ORD-14-0226566 RD Yes Environmental Protection Agency Risk Management Research Lab 353,513 13,000 EP-C-11-038/TO 32 PR-ORD-15-02278

$5,853,660 $388,209

77 RD Yes Nuclear Regulatory Commission Office of Nuclear Regulatory Research 73,062 - GS-00F-084CA / NRC-HQ-60-16-R-0005 / NRC-HQ-60-16-T-0001 / SIN 871-177 RD Yes Nuclear Regulatory Commission PES Piping Integrity Analysis 90,177 - GS-23F-0011L/NRC-HQ-13-F-04-0001

$163,239 $0

81 81.087 Yes Department of Energy Renewable Energy Research and Development 304,537 599 Award No. DE-EE000525081 81.089 Yes Department of Energy Fossil Energy Research and Development 384,845 26,220 DE-FE002658581 81.089 Yes Department of Energy Fossil Energy Research and Development 6,764,533 1,838,576 DE-FC26-05NT4258981 81.089 Yes Department of Energy Fossil Energy Research and Development 10,134 6,948 DE-FE000905181 81.089 Yes Department of Energy Fossil Energy Research and Development 79,962 - DE-FE000936781 81.089 Yes Department of Energy Fossil Energy Research and Development 284,243 258,937 DE-FE001406681 81.089 Yes Department of Energy Fossil Energy Research and Development 462,156 - DE-FE002333081 81.089 Yes Department of Energy Fossil Energy Research and Development 1,181,664 749,884 DE-FE002396381 81.089 Yes Department of Energy Fossil Energy Research and Development 218,416 - DE-FE002701281 81.135 Yes Department of Energy ARPA-E (110) - DE-AR000027281 RD Yes Department of Energy National Energy Technology Lab 560,192 331,359 DE-FE002608781 RD Yes Department of Energy National Nuclear Security Administratin (19,167) - SP0700-00-D-3180 DO074881 RD Yes Department of Energy Office of Nuclear Energy 2,410,758 1,293,735 DE-NE0008467 / DE-SOL-000807181 RD Yes Department of Energy Renewable Energy Research and Development (389) - DE-EE0004391

$12,641,774 $4,506,258

93 93.103 Yes Department of Health and Human Services Food & Drug Administration Research 38,960 - 1R13FD005491-0193 93.242 Yes Department of Health and Human Services Mental Health Research Grants (2,014) - 1R01MH095558-0193 93.279 Yes Department of Health and Human Services Drug Abuse and Addition Research Programs (343) - 7R34DA032683-0393 93.393 Yes Department of Health and Human Services Cancer Cause and Prevention Research 61,064 - 1 R01 CA158045-01A193 93.393 Yes Department of Health and Human Services Cancer Cause and Prevention Research 336,348 - 1R01CA162085-0193 93.865 Yes Department of Health and Human Services Child Health and Human Development Extramural Research 149,144 98,328 1R21HD078923-01A193 RD Yes Department of Health and Human Services Agency for Healthcare Research (3,448) - HHSA290201200001C93 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 397,921 - HHSO100201100005I / HHS010033009T / RTOR-BIO-002193 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 115,707 - HHSO100201100005I / HHSO10033008T / RTOR-BIO 001693 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 456,238 - HHSO100201100005I / HHSO10033015T / RTOR-BIO-001593 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 192,175 - HHSO100201100005I HHSO100330010T RTOR-BIO-001193 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 287,332 - HHSO100201100005I HHSO10033013T BIO001393 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 810,744 - HHSO100201100005I HHSO10033014T BIO001493 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 124 - HHSO100201100005I/ TO HHSO10033005T/BIO-000993 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 12,759 - HHSO100201100005I/ TO HHSO10033007T/ BIO-000793 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 462,766 - HHSO100201500004I / HHSO10033001T93 RD Yes Department of Health and Human Services Biomed Advanced Research Development Authority 12,821 - HHSO100201500004I / HHSO10033002T93 RD Yes Department of Health and Human Services Centers for Disease Control 21,453 - 200-2000-08018, Task Order No. 002593 RD Yes Department of Health and Human Services Centers for Disease Control 38,100 - 200-2002-00573, Task Order No. 000693 RD Yes Department of Health and Human Services Centers for Disease Control (14) - 200-2007-20032-000293 RD Yes Department of Health and Human Services Centers for Disease Control 344,686 14,001 200-2007-20032-000393 RD Yes Department of Health and Human Services Centers for Disease Control 97,022 - 200-2007-20032-000493 RD Yes Department of Health and Human Services Centers for Disease Control (107) - 200-2008-27956 / ORDER NO. 001793 RD Yes Department of Health and Human Services Centers for Disease Control (45) - 200-2008-27956 / ORDER NO. 001993 RD Yes Department of Health and Human Services Centers for Disease Control 388,437 - 200-2008-27956 / ORDER NO. 0020

(Continued)

- 53 -

- 54 -




93 RD Yes Department of Health and Human Services Centers for Disease Control (220)$ -$ 200-2008-27956 / ORDER NO. 002193 RD Yes Department of Health and Human Services Centers for Disease Control (686) - 200-2008-27956 / ORDER NO. 002293 RD Yes Department of Health and Human Services Centers for Disease Control (825) - 200-2008-27956 / ORDER NO. 002393 RD Yes Department of Health and Human Services Centers for Disease Control (988) - 200-2008-27956 ORDER NO. 001393 RD Yes Department of Health and Human Services Centers for Disease Control (74) - 200-2008-27956/ORDER NO. 000693 RD Yes Department of Health and Human Services Centers for Disease Control 1,168,366 - 200-2014-5773693 RD Yes Department of Health and Human Services Centers for Disease Control 121,056 - 200-2016-8924393 RD Yes Department of Health and Human Services Centers for Disease Control 400,324 - GS-23F-8167H SIN 874-1, HHSD2002013M53942B ORDER# 200-2015-F-8825493 RD Yes Department of Health and Human Services Centers for Disease Control 83,705 - GS-23F-8167H SIN 874-1, HHSD2002013M53942B ORDER# 200-2015-F-8828093 RD Yes Department of Health and Human Services Centers for Disease Control 291,824 - GS-23F-8167H, HHSD2002013M3942B, ORDER# 200-2015-F-87981, SIN 874-193 RD Yes Department of Health and Human Services Centers for Disease Control 7,381,949 - GS-23F-8167H, HHSD2002013M53942B, ORDER NO. 200-2014-F-61262, SIN# 874-193 RD Yes Department of Health and Human Services Centers for Disease Control 1,665,722 - GS23F81767H / Order 200-2011-F-38608 / SIN 874-193 RD Yes Department of Health and Human Services Centers for Disease Control 2,031,223 222,360 GS-35F5338H / Task Order 200-2013-F-57570 / SIN 132-5193 RD Yes Department of Health and Human Services Centers for Disease Control 7,531,749 6,379 HHSD2002013M53942B93 RD Yes Department of Health and Human Services Centers for Disease Control 238,134 - HHSD2002013M53942B / ORDER NO. 200-2014-F-59969, SIN # 874-193 RD Yes Department of Health and Human Services Centers for Disease Control (1,909) - HHSD2002014M60310B / ORDER NO: 200-2014-F-61289 GS-00F-084CA / SIN 874-193 RD Yes Department of Health and Human Services Centers for Disease Control 29,692 - HHSP23320045006XI93 RD Yes Department of Health and Human Services Centers for Disease Control 1,500 - HHSP23320045006XI/HHSP233200700003T93 RD Yes Department of Health and Human Services Centers for Disease Control 11,164 - HHSP23320045006XI/HHSP233200800002T93 RD Yes Department of Health and Human Services Centers for Disease Control 1,841 - HHSP23320045006XI/HHSP233200800003T93 RD Yes Department of Health and Human Services Centers for Disease Control 32,580 - HHSP23320045006XI/HHSP233200800004T93 RD Yes Department of Health and Human Services Centers for Disease Control (118) - HHSP23320045006XI/T.O. HHSP23300009T93 RD Yes Department of Health and Human Services Centers for Disease Control 13,857 - SP0700-00-D-3180/DO 0542/TAT 68993 RD Yes Department of Health and Human Services Centers for Disease Control 16,720 - SP0700-00-D-3180/DO 0556/TAT 73893 RD Yes Department of Health and Human Services Centers for Disease Control (127) - SP0700-00-D-3180/DO 0706/CB 11-005293 RD Yes Department of Health and Human Services Centers for Disease Control (1) - SP0700-00-D-3180/DO 0730/CB-11-024093 RD Yes Department of Health and Human Services Centers for Disease Control (28) - SP0700-00-D-3180/DO 0815/CB-14-087093 RD Yes Department of Health and Human Services Centers for Disease Control (2,377) - SP0700-00-D-3180-0732 / CB 11-024493 RD Yes Department of Health and Human Services Centers for Disease Control 9 - W911NF-07-D-0001/DO 0566/TCN 0825593 RD Yes Department of Health and Human Services Centers for Disease Control (109) - W911NF-07-D-0001/DO 0889/TCN 1007193 RD Yes Department of Health and Human Services Centers for Disease Control 245 - W911NF-11-D-0001 / D.O. 0174 / TCN 1208993 RD Yes Department of Health and Human Services Centers for Medicare Medicaid Services 3,758,595 299,739 Contract No. HHSM-500-2013-13005I, Task Order HHSM-500-T000193 RD Yes Department of Health and Human Services Food & Drug Administration 637,393 181,652 GS00Q14OADU402 / W911NF-15-F-000993 RD Yes Department of Health and Human Services Food & Drug Administration 264,239 33,582 GS-23F-8167H/HHSP233201500107G, SOL#14-233-SOL-00388, SIN 874/193 RD Yes Department of Health and Human Services Food & Drug Administration 195,662 - HHSF223201400098C93 RD Yes Department of Health and Human Services Food & Drug Administration (3,109) - SP0700-00-D-3180-0747 / CB 12-034193 RD Yes Department of Health and Human Services Food & Drug Administration 1,020 - W911NF-07-D-0001/DO 0793/TCN 0928393 RD Yes Department of Health and Human Services National Cancer Institute 19,769 - 1R01CA209961-0193 RD Yes Department of Health and Human Services National Cancer Institute 17 - CONTRACT NO. HHSN261201100019C / NCI CONTROL NO. N01CM-2011-00019 / TASK ORDER 1393 RD Yes Department of Health and Human Services National Cancer Institute 5,486 - HHS-N261-2004-22000C / ADB Contract No. N01-CM-42200, Work Assignment 1493 RD Yes Department of Health and Human Services National Cancer Institute 14,576 - HHS-N261-2004-22000C / ADB Contract No. N01-CM-42200, Work Assignment 1693 RD Yes Department of Health and Human Services National Cancer Institute 2,803 - HHS-N261-2004-22000C / ADB Contract No. N01-CM-42200, WORK ASSIGNMENT 1793 RD Yes Department of Health and Human Services National Cancer Institute 3,891 - HHS-N261-2004-22000C / ADB Contract No. N01-CM-42200, WORK ASSIGNMENT 2093 RD Yes Department of Health and Human Services National Cancer Institute 389 - HHS-N261-2004-22000C / ADB Contract No. N01-CM-42200, WORK ASSIGNMENT 2193 RD Yes Department of Health and Human Services National Cancer Institute 6 - HHS-N261-2004-22000C / ADB Contract No. N01-CM-42200, WORK ASSIGNMENT 2793 RD Yes Department of Health and Human Services National Cancer Institute 1,645 - HHSN261200455002C/N01-CP-45502/ CAN#0-842329793 RD Yes Department of Health and Human Services National Cancer Institute 819,795 - HHSN261201000080C N02-CO-2010-0008093 RD Yes Department of Health and Human Services National Cancer Institute 63,965 - HHSN261201100019C - N01CM-2011-00019 - ORDER #1793 RD Yes Department of Health and Human Services National Cancer Institute (4) - HHSN261201100019C, N01CM-2011-00019, TO 1593 RD Yes Department of Health and Human Services National Cancer Institute 92,237 - HHSN261201100019C, N01CM-2011-00019, TO 1693 RD Yes Department of Health and Human Services National Cancer Institute 2,085 - HHSN261201100019C/N01CM201100019/WA 0393 RD Yes Department of Health and Human Services National Cancer Institute 2,197 - HHSN261201100019C/N01CM201100019/WA0193 RD Yes Department of Health and Human Services National Cancer Institute 95,514 - HHSN261201600008C; NCI Control No. N02CO-2016-0000893 RD Yes Department of Health and Human Services National Cancer Institute 243 - OPP107631/N01CM201100019 WA0993 RD Yes Department of Health and Human Services National Cancer Institute 13,617 - WA 08 contract no. HHSN261201100019C NCI contract no. N01CM-2011-0001993 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 863,865 - Contract No. HHSN272201200003I / Order No. HHSN2720000993 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 108,311 78,413 Contract No. HHSN272201200003I ; Order No. HHSN2720001293 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 1,292 2,978 CONTRACT NO. HHSN272201200003I TASK ORDER NO. HHSN2720000693 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 1,856,476 - CONTRACT NO. HHSN272201200003I TASK ORDER NO. HHSN2720000793 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 3,196,224 2,646,074 CONTRACT NO. HHSN272201200003I TO NO.HHSB2720000893 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 124,796 - Contract No. HHSN272201200003I, Order No. HHSN2720001393 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 909,733 833,174 Contract No. HHSN272201200003I; Order No. HHSN2720001093 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 140,044 112,937 Contract No. HHSN272201200003I; Order No. HHSN2720001193 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 406,467 - Contract No. HHSN272201200003I; Order No. HHSN2720001493 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 542,431 323,955 Contract No. HHSN272201200003I; Order No. HHSN2720001593 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease (74) - CONTRACT NO.: HHSN272201200003I TASK NO.: HHSN2720000593 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 73 - CONTRACT NO.: HHSN272201200003I TASK ORDER NO.: HHSN2720000493 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 1,657 - HHSDN272201200003I ; Order No. HHSN2720001993 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 18,801 - HHSN272200700016I / Year 1093 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease (2) - HHSN272200700016I / Year 693 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease (4,950) 10,403 HHSN272200700016I / Year 793 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 1,533,007 1,129,014 HHSN272200700016I / Year 893 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 21,044,278 10,538,105 HHSN272200700016I / Year 993 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 14,951 - HHSN272201000003I HHSN2720001 Task A4993 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 27,949 - HHSN272201000003I / HHSN272000010 B0293 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 653 - HHSN272201000003I / HHSN27200002 B0193 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 1,121,931 - HHSN272201000003I / HHSN27200011 / TASK C2693 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 2,123,473 - HHSN272201000003I / HHSN27200012 / TASK C3093 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease (6) - HHSN272201000003I HHSN2720009 C1793 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 9,247 - HHSN272201000003I/TASK C0793 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 3,113 - HHSN272201200003I / Order No. HHSN2720001693 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 3,455 - HHSN272201200003I ; Order No. HHSN2720001893 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease (55) - HHSN272201200003I HHSN2720000293 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 140,055 - HHSN272201200003I Order No. HHSN27200001

(Continued)

- 55 -




93 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 287,865$ 245,443$ HHSN272201200003I ORDER NO. HHSN27200003 (IA-004)93 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 3,685 - HHSN272201200003I Order No. HHSN2720001793 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease (8,484) - N01-AI-30061 09/30/200393 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease (13,255) - N01-AI-30061 06/16/200693 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 8,479 - N01-AI-30061/TASK ORDER 0293 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 5,839,059 1,553,582 SP0700-00-D-3180 DO 079493 RD Yes Department of Health and Human Services National Institute of Allergy and Infectious Disease 125 - SP0700-00-D-3180/ DO 068793 RD Yes Department of Health and Human Services National Institute of Environmental Health 13,877,722 - HHSN273201400015C93 RD Yes Department of Health and Human Services National Institute of Environmental Health 4,280,279 - HHSN273201400027C93 RD Yes Department of Health and Human Services National Institute of Occupational Safety 32 - 200-2000-08018, Task Order No. 001893 RD Yes Department of Health and Human Services National Institute of Occupational Safety 58 - 200-2000-08018, Task Order No. 002393 RD Yes Department of Health and Human Services National Institute of Statistical Science (682) - Award Contract HHSN273201000016C93 RD Yes Department of Health and Human Services National Institute of Statistical Science (139) - CONTRACT CON00018337 CONT NO.: NO1-ES-55536 WA 9-0493 RD Yes Department of Health and Human Services National Institute of Statistical Science (10) - CONTRACT NO: NO1-ES-55536 WORK ASSIGNMENT 9-0293 RD Yes Department of Health and Human Services National Institute of Statistical Science (11) - HHSN273201300012C93 RD Yes Department of Health and Human Services National Institute of Statistical Science 16,167 - HHSN29120055541/N01-ES-55541/ W.A. 7-0193 RD Yes Department of Health and Human Services National Institute of Statistical Science (12) - HHSN291200555536 NO1-ES-55536 - WA 9-0393 RD Yes Department of Health and Human Services National Institute of Statistical Science 3,304 - HHSN291200555536/ADB CONTRACT NO. NO1-ES-55536 - WA 5-0593 RD Yes Department of Health and Human Services National Institute of Statistical Science (11,411) - HHSN291200555536/NO1-ES-55536 - WA 1-01/ADMIN93 RD Yes Department of Health and Human Services National Institute of Statistical Science 3,094 - HHSN291200555536/NO1-ES-55536 - WA 2-03 VECTOR93 RD Yes Department of Health and Human Services National Institute of Statistical Science 78 - HHSN291200555541/ADB CONTRACT NO. N01-ES-55541 - WA 1-0393 RD Yes Department of Health and Human Services National Institute of Statistical Science 5,037 - HHSN291200555541/ADB CONTRACT NO. N01-ES-55541 - WA 2-0293 RD Yes Department of Health and Human Services National Institute of Statistical Science 55 - HHSN291200555541/ADB CONTRACT NO. N01-ES-55541 - WA 4-0193 RD Yes Department of Health and Human Services National Institute of Statistical Science 3,948 - HHSN291200555541/ADB CONTRACT NO. N01-ES-55541 - WA 4-0293 RD Yes Department of Health and Human Services National Institute of Statistical Science 5,376 - HHSN291200555541/ADB CONTRACT NO. N01-ES-55541 - WA 4-0393 RD Yes Department of Health and Human Services National Institute of Statistical Science 72 - HHSN291200555541/ADB CONTRACT NO. N01-ES-55541 - WA 4-0493 RD Yes Department of Health and Human Services National Institute of Statistical Science (10) - HHSN291200555541/N01-ES-55541 - WA 1-0193 RD Yes Department of Health and Human Services National Institute of Statistical Science 3,199 - HHSN291200555541/N01-ES-55541/WA 6-0393 RD Yes Department of Health and Human Services National Institute of Statistical Science (3) - N01-ES-55536 (W.A.) No: 8-02; Modification No: 0093 RD Yes Department of Health and Human Services National Institute of Statistical Science (109) - N01-ES-55536 / W.A. NO: 6-0493 RD Yes Department of Health and Human Services National Institute of Statistical Science 90 - N01-ES-65406/T.O. (BC #2)4-0393 RD Yes Department of Health and Human Services National Institute of Statistical Science (126) - N01-ES-65406/T.O. (BC #2)6-0593 RD Yes Department of Health and Human Services National Institute of Statistical Science 81 - N01-ES-65406/T.O. (BC #2)6-0693 RD Yes Department of Health and Human Services National Institute of Statistical Science 1,747 - N01-ES-65406/T.O. BC #2(5-01)93 RD Yes Department of Health and Human Services National Institute of Statistical Science 1,344 - N01-ES-65406/T.O. BC #2(6-07)93 RD Yes Department of Health and Human Services National Institute of Statistical Science 30 - N01-ES-65406/T.O. BC #2(6-10)93 RD Yes Department of Health and Human Services National Institute of Statistical Science 11 - N01-ES-65406/T.O. BC #2(6-11)93 RD Yes Department of Health and Human Services National Institute of Statistical Science (346) - NO1-ES-55536, W.A. 10-0393 RD Yes Department of Health and Human Services National Institute of Statistical Science (1,324) - NO1-ES-55536, WA No. 10-0493 RD Yes Department of Health and Human Services National Institute of Statistical Science 2,623 - NO1-ES-55536; WA 10-0293 RD Yes Department of Health and Human Services National Institute of Statistical Science (749) - OPP112631/CONT NO.: NO1-ES-55536 WORK ASSIGNMENT 9-0593 RD Yes Department of Health and Human Services National Institute on Alcohol Abuse and Alcoholism 5,574 - 1R01AA024709-01A193 RD Yes Department of Health and Human Services National Institute on Drug Abuse 16,326 - 1R01DA041328-01A193 RD Yes Department of Health and Human Services National Institutes of Health 1,402,972 460,020 HHSN268201000041C93 RD Yes Department of Health and Human Services Office of Assistant Secretary for Planning and Evaluation 6,493 - HHSO100201100005I-HHSO10033004T BIO-000693 RD Yes Department of Health and Human Services Program Support Center 4,345 - HHSP23320045006XI/TO #HHSP233200800005T

$91,153,853 $18,790,140

97 RD Yes Department of Homeland Security Advanced Research Projects Agency (1,133) - HSHQDC-11-C-0003697 RD Yes Department of Homeland Security Chemical Security Analysis Center 181 - CON# HSHQDC-10-C-00055 ITEM NO. 000197 RD Yes Department of Homeland Security Chemical Security Analysis Center 66 - SP0700-00-D-3180/DO 0126/Mod 10/SA 1397 RD Yes Department of Homeland Security Chemical Security Analysis Center 4,007,538 1,235,508 W91CRB-11-D0002 / D.O. 002797 RD Yes Department of Homeland Security Coast Guard 64 - SP0700-00-D-3180/DO 0582/TAT 73397 RD Yes Department of Homeland Security Coast Guard (523) - SP0700-00-D-3180/DO 0743/CB-12-033397 RD Yes Department of Homeland Security Domestic Nuclear Detection Office 738,166 6,543 FA8075-14-D-0003 DO 001097 RD Yes Department of Homeland Security Federal Emergency Management Agency 19,127 18,900 Order No. DJU4500459547; Prime Contract No. SP0700-00-D-318097 RD Yes Department of Homeland Security Federal Emergency Management Agency 3,989 - SP0700-00-D-3180/DO 0231/TAT 28997 RD Yes Department of Homeland Security National Biodefense Analysis and Countermeasures Center (2,747) - SP0700-00-D-3180/DO 0273/TAT 37397 RD Yes Department of Homeland Security National Protection and Programs Directorate (1) - SP0700-00-D-3180 / D.O. 0792 / TAT: CB:13-072597 RD Yes Department of Homeland Security Office of Health Affairs (2) - SP0700-00-D-3180/DO 0728/CB-11-024297 RD Yes Department of Homeland Security Science and Technology Directorate 889,374 101,228 GS-00F-0084CA SIN C871-1, HSHQDC-13-A-00023, ORDER# HSHQDC-15--J-0039597 RD Yes Department of Homeland Security Science and Technology Directorate 277,030 - GS-00F-0084CA, SIN C871-1, HSHQDC-13-A-00023, ORDER# HSHQDC-15-J-0048597 RD Yes Department of Homeland Security Science and Technology Directorate 186,406 83,016 GS-00F-084CA SIN C871-1, HSHQDC-13-A-00023, ORDER# HSHQDC-15-J-0048497 RD Yes Department of Homeland Security Science and Technology Directorate 10,680 - GS-00F-084CA, HSHQDC-13-A-00023, HSHQDC-16-J-00352 SIN 871-197 RD Yes Department of Homeland Security Science and Technology Directorate 263,181 - GS-00F-084CA, HSHQDC-13-A-00023, ORDER #HSHQDC-15-J-00296, SIN#C871-197 RD Yes Department of Homeland Security Science and Technology Directorate 88,625 19,056 GS-00F-084CA/HSHQDC-13-A-00023 / HSHQDC-16-J-00199, SIN C871-197 RD Yes Department of Homeland Security Science and Technology Directorate 212 - GS-00F-084CA/HSHQDC-13-A-00023 / HSHQDC-16-J-0044897 RD Yes Department of Homeland Security Science and Technology Directorate 822,792 20,851 GS-23-F-0011L / HSHQDC-13-A-00023 / SIN's 871-4 / ORDER#HSHQDC-14-J-0057697 RD Yes Department of Homeland Security Science and Technology Directorate (77) - GS-23F-0011L, HSHQDC-13-A-00023, SINs 871/1-4 ORDER # HSHQDC-13-J-0023497 RD Yes Department of Homeland Security Science and Technology Directorate (1,272) - GS-23F-0011L, HSHQDC-13-A-00023, SINs 871/1-4 ORDER#HSHQDC-13-J-0020997 RD Yes Department of Homeland Security Science and Technology Directorate (192) - GS-23F-0011L, HSHQDC-13-A-00023, SINs 871/1-4 ORDER#HSHQDC-13-J-0043697 RD Yes Department of Homeland Security Science and Technology Directorate (253) - GS-23F-0011L, HSHQDC-13-A-00023, SINs 871/1-4 ORDER#HSHQDC-13-J-0044497 RD Yes Department of Homeland Security Science and Technology Directorate (122) - GS-23F-0011L, HSHQDC-13-A-00023, SINs 871/1-4 ORDER#HSHQDC-13-J-0046297 RD Yes Department of Homeland Security Science and Technology Directorate 1,205,903 306,788 GS-23F-0011L, HSHQDC-13-A-00023, ORDER# HSHQDC-15-J-00169 SIN, 871-197 RD Yes Department of Homeland Security Science and Technology Directorate 13,776 - GS-23F-0011L, HSHQDC-13-A-00023, ORDER# HSHQDC-15-J-00088 SIN 871-197 RD Yes Department of Homeland Security Science and Technology Directorate 426,544 17,592 GS-23F-0011L, HSHQDC-13-A-00023, ORDER# HSHQDC-15-J-00189 SIN's 871-197 RD Yes Department of Homeland Security Science and Technology Directorate (215) - GS-23F-0011L, HSHQDC-13-A-00023, SIN's 871/1-4 ORDER # HSHQDC-14-J-0012897 RD Yes Department of Homeland Security Science and Technology Directorate 63 - GS-23F-0011L, HSHQDC-13-A-00023, SIN's 871/1-4 ORDER# HSHQDC-14-J-0006897 RD Yes Department of Homeland Security Science and Technology Directorate (1,097) - GS-23F-0011L, HSHQDC-13-A-00023, SIN's 871/1-4 ORDER# HSHQDC-14-J-0007497 RD Yes Department of Homeland Security Science and Technology Directorate 198,694 56,415 GS-23F-0011L, HSHQDC-13-A-00023, SIN's 871-4 ORDER# HSHQDC-14-J-0029697 RD Yes Department of Homeland Security Science and Technology Directorate 276,289 117,556 GS-23F-0011L, HSHQDC-13-A-00023/ SIN's 871/4, ORDER# HSHQDC-14-J-0058897 RD Yes Department of Homeland Security Science and Technology Directorate 721,529 38,711 GS-23F-0011L,HSHQDC-13-A-00023, HSHQDC-15-J-00070, SIN's 871-1/497 RD Yes Department of Homeland Security Science and Technology Directorate 1,120,373 239,354 HHSQDC-14-C-B0041

(Continued)

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97 RD Yes Department of Homeland Security Science and Technology Directorate 31,410$ -$ HSHQCD-13-C-B005097 RD Yes Department of Homeland Security Science and Technology Directorate 709 - HSHQDC-10-C-0002097 RD Yes Department of Homeland Security Science and Technology Directorate 4,517 - HSHQDC-11-C-0007297 RD Yes Department of Homeland Security Science and Technology Directorate 2,698,286 50,000 HSHQDC-13-C-B000897 RD Yes Department of Homeland Security Science and Technology Directorate 485,053 - HSHQDC-13-C-B001097 RD Yes Department of Homeland Security Science and Technology Directorate 56 - HSHQDC-13-C-B004997 RD Yes Department of Homeland Security Science and Technology Directorate 1,941,324 129,680 HSHQDC-14-C-B002397 RD Yes Department of Homeland Security Science and Technology Directorate 667,511 - HSHQDC-14-C-B004697 RD Yes Department of Homeland Security Science and Technology Directorate 1,090,437 49,287 HSHQDC-15-C-B001897 RD Yes Department of Homeland Security Science and Technology Directorate (448) - SP0700-00-D-3180 / D.O. 0791 / CB 13-067497 RD Yes Department of Homeland Security Science and Technology Directorate 1,017,794 40,877 SP0700-00-D-3180 / D.O. 0784 / CB-13-061297 RD Yes Department of Homeland Security Science and Technology Directorate (1) - SP0700-00-D-3180 / D.O. 0703 / CB 11-002297 RD Yes Department of Homeland Security Science and Technology Directorate (140) - SP0700-00-D-3180 / D.O. 0698 / TAT 89497 RD Yes Department of Homeland Security Science and Technology Directorate (251) - SP0700-00-D-3180/DO 0653/TAT 85397 RD Yes Department of Homeland Security Science and Technology Directorate (13) - SP0700-00-D-3180/DO 0692/TAT 89697 RD Yes Department of Homeland Security Science and Technology Directorate 36 - SP0700-00-D-3180/DO 0724/CB-11-017197 RD Yes Department of Homeland Security Science and Technology Directorate 419 - SP0700-00-D-3180/DO 0727/CB-11-026197 RD Yes Department of Homeland Security Science and Technology Directorate (1) - SP0700-00-D-3180-075997 RD Yes Department of Homeland Security Science and Technology Directorate (542) - Subcontract No. DHS-S-00297 RD Yes Department of Homeland Security Science and Technology Directorate 658,198 - W91CRB-11-D-0002 / D. O. 002397 RD Yes Department of Homeland Security Science and Technology Directorate 971,071 225,697 W91CRB-11-D0002 / D.O. 002497 RD Yes Department of Homeland Security Science and Technology Directorate 5,884 - W91CRB-11-D-0002-001297 RD Yes Department of Homeland Security Transportation Security Administration 24 - DTFACT-03-C-00042 CLIN 001 TASK AREA ONE TDL 06-04897 RD Yes Department of Homeland Security Transportation Security Administration (297) - DTFACT-03-C-00042 CLIN 001 TASK AREA ONE TDL 10-05497 RD Yes Department of Homeland Security Transportation Security Administration (16,414) (16,414) DTFACT-03-C-00042 CLIN 001 TASK AREA ONE TDL-04-01097 RD Yes Department of Homeland Security Transportation Security Administration 13,951 - GS-00F-084CA, CON. HSTS04-15-A-CT6005 / ORDER HSTS04-16-J-CT6057, SIN C871-497 RD Yes Department of Homeland Security Transportation Security Administration 23,783 - GS-00F-084CA, CON. HSTS04-15-A-CT6005 / ORDER HSTS04-16-J-CT6100, SIN C871-497 RD Yes Department of Homeland Security Transportation Security Administration 10,741 9,434 HSTS04-10-D-ST3066 Order HSTS04-14-J-CT9010 TO#02897 RD Yes Department of Homeland Security Transportation Security Administration 259,148 174,250 HSTS04-10-DST3066 - TO 13 - TESS97 RD Yes Department of Homeland Security Transportation Security Administration 4,284,295 1,196,349 HSTS04-10-D-ST3066 - TO 14 TESS97 RD Yes Department of Homeland Security Transportation Security Administration 179,565 33,243 HSTS04-10-D-ST3066 - TO 21 TESS97 RD Yes Department of Homeland Security Transportation Security Administration 1,438 - HSTS04-10-D-ST3066 - TO 22 TESS97 RD Yes Department of Homeland Security US Secret Service (1,293) - HSSS01-09-C-0059/ 21401197 RD Yes Department of Homeland Security US Secret Service 2,020,711 - HSSS01-15-C-0019

$27,609,929 $4,153,920

99 RD Yes Miscellaneous US Postal Service $198,847 $133,737 2ASAES-16-C-0003

Total Direct Funding $484,841,090 $141,615,336

(Continued)

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2. Indirect Funding (Battelle is Sub recipient/Subcontractor)

10 310 Yes Department of Agriculture Cornell University $61,112 -$ Subaward No. 73934-10470

12 0 Yes Department of Defense University of New Hampshire (2) - Subcontract Agreement No. 12-01512 300 Yes Department of Defense Penn State University 56 - Subaward No. SA12-1512 800 Yes Department of Defense Penn State University 84,361 - SA15-16-BATTELLE12 800 Yes Department of Defense University of Dayton Research Institute 200,405 - SUBKTR #RSC1003712 RD Yes Department of Defense Advanced Technology International (ATI) 138,653 39,866 OTA #W15QKN-14-9-0001 / DOTC-13-01 INIT091 OTBA NO. 2010-36512 RD Yes Department of Defense Advanced Technology International (ATI) 262,809 - DOTC-15-01-INIT208; Agreement #2010-36512 RD Yes Department of Defense Alion Science and Technology Corp 813,630 - Subcontract Number SUB1132280-00112 RD Yes Department of Defense Alion Science and Technology Corp 100,051 - Subcontract SUB1132280-00212 RD Yes Department of Defense Alion Science and Technology Corp 153,344 - SCF113623112 RD Yes Department of Defense Analytic Services Inc 692,146 - S-12-033-BATT; Task Order 001; ANSER Project #(10775-001)DATSD (CBD)12 RD Yes Department of Defense Applied Research Associates Inc (286) - Subcontract S-000500.00000.02.BMI; Prime Contract FA4819-09-C-004412 RD Yes Department of Defense Applied Research Associates Inc 213,926 - Contract S-002524.00001.BMI ; Purchase Order PO15-0048312 RD Yes Department of Defense Applied Research Associates Inc 561,215 - S-D00075.03.Battelle12 RD Yes Department of Defense Arinc Inc (17,719) - 26016412 RD Yes Department of Defense Ashwin-Ushas Corporation Inc. 108,719 - Technical Services Agreement OPP20028212 RD Yes Department of Defense BAE Systems 1,186 - 94272012 RD Yes Department of Defense Bechtel National Inc 8,921 - 24915-300-FC4-HXYT-0002 Modification CO 00009 (Job No. 24915 dated 8/4/2011)12 RD Yes Department of Defense Bechtel National Inc 3,029,449 158,610 BNI_BMI-034 Subcontract #24915-300-FC4-HXYT-00002 Change Notice 0000312 RD Yes Department of Defense Bechtel National Inc 306,387 - 24915-300-FC4-HXYT-00002 / 000912 RD Yes Department of Defense Bechtel National Inc 39,839,603 700,253 SUBCONTRACT NO. 24852-FC7-T000-00002/Change order #0000412 RD Yes Department of Defense Bechtel National Inc 15,586,127 - BNI-BMI-00312 RD Yes Department of Defense Bechtel National Inc 2,596 - SUBCONTRACT NO 24852-TO-00212 RD Yes Department of Defense Bluefin Robotics Corp 2,262,664 - OPP201053 - FalconEye Program Option212 RD Yes Department of Defense Bluefin Robotics Corp 76,452 - OPP20327912 RD Yes Department of Defense Bluefin Robotics Corp 31,869 - OPP117794 / OPP202563 / OPP202564 / OPP20256512 RD Yes Department of Defense Bluefin Robotics Corp 62 - Purchase Order 15-83612 RD Yes Department of Defense Bluefin Robotics Corp 62 - Purchase Order 15-83712 RD Yes Department of Defense Bluefin Robotics Corp 107,455 - PO# 15-47312 RD Yes Department of Defense BMI Defense Systems (76) - PURCHASE ORDER NO. 00587712 RD Yes Department of Defense Booz-Allen-Hamilton Inc 224,037 - Subcontract: 104100SBOI / Delivery Order KY 09 - SIL Development Support12 RD Yes Department of Defense Booz-Allen-Hamilton Inc 166,920 - Prime # OASIS Pool 1, GS00Q14OADU108, Subcontractor # 107155SB1X - Project 54001-100812 RD Yes Department of Defense Booz-Allen-Hamilton Inc (4,072) - Subcontract #104100SBOI, T.O. #001, D.O. #06; Prime Contract #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc (2,450) - Prime Cntr #W15P7T-10-D-D415; Subcontract #104100SB0I; T.O. 004; D.O. 0612 RD Yes Department of Defense Booz-Allen-Hamilton Inc (22) - Subcontract No. 104100SB01; T.O. 003; D.O. 06; Prime Cnt No. W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc (358) - Subcontract #104100SBOI, T.O. #002, D.O. #06; Prime Contract #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc (1,070) - Subcontract #104100SBOI, T.O. #006, D.O. #06; Prime Contract #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc 110,486 - OPP118432 / Task Order 112 RD Yes Department of Defense Booz-Allen-Hamilton Inc 162,048 - Subcnt. #104100SB01; T.O. 011; Prime Cnt. #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc 121,717 - Subcnt. #104100SB01; T.O. 010; Prime Cnt. #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc 248,965 - Subcnt. #104100SB01; T.O. 012; Prime Cnt. #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc 1,271 - Subctr. #104100SB01; T.O. #008; Prime Ctr. #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc (1,069) - Subcnt. #104100SB01; T.O. 007; Prime Cnt. #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc 21,174 - Subcnt. #104100SB01; T.O. 009; Prime Cnt. #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc 667,611 - Subcnt. #104100SB0I; T.O. 013; Prime Cnt. #W15P7T-10-D-D41512 RD Yes Department of Defense Booz-Allen-Hamilton Inc 175,627 - Subcontract 104100SB01 01512 RD Yes Department of Defense Business Technology and Solutions (20,116) - FA8721-07-D-0009 DO 11/PASS 0011-02/0011-BATTELLE12 RD Yes Department of Defense CACI Inc (36,066) - W15P7T-0-D-P013/ TESS Task Order 0018/S12-11938612 RD Yes Department of Defense CACI Inc 66,822 - SUB CON# P000007054 - W15P7T-06-DE402/S3 - BD2912 RD Yes Department of Defense CB&I Federal Services, LLC 629,313 - 856889-000 OP / CO #51112 RD Yes Department of Defense CB&I Federal Services, LLC 82,933 - Prime Contract #W911SR-12-D-0007 Subcontract 202058 / CB&I Project Number 50050012 RD Yes Department of Defense CDI Marine 2,761 - N00178-04-D-402712 RD Yes Department of Defense CDI Marine 3,922 - PO 234814063512 RD Yes Department of Defense CH2M Hill Inc 4,097,489 736,200 Purchase Order No. 130803112 RD Yes Department of Defense CH2M Hill Inc (4) - 10006-7-101255 / TO 0008 Support Services12 RD Yes Department of Defense CH2M Hill Inc 254,695 - Agreement No. OPP106431 / PO 95078212 RD Yes Department of Defense CH2M Hill Inc 10,833 - Purchase Order 954315 / Battelle Proposal No. OPP11129712 RD Yes Department of Defense CH2M Hill Inc 1,236,609 - Award No. 10006-7-10493912 RD Yes Department of Defense Charles River Analytics 79,914 - SC151920112 RD Yes Department of Defense Chemring Detection Systems Inc 1,669 - PO# 15220912 RD Yes Department of Defense Classified 23,866 - GCI-12-1425-01CI12 RD Yes Department of Defense Classified 1,132,821 - Subcontract Number C510-SH/Prime Contract FA8750-12-D-000212 RD Yes Department of Defense Classified 52,924 3,580 Subcontract A00035402612 RD Yes Department of Defense Classified 101,801 - 16122015 / PCLIN 00112 RD Yes Department of Defense Classified 1,985,260 - B2T2-2016-OH12 RD Yes Department of Defense Classified 31,328 - PO 00861-000000115312 RD Yes Department of Defense Classified 235,698 - OPP103550 Client Ref# TY1010201112 RD Yes Department of Defense Clemson University 1,116 - Subcontract No. 1863-201-202140812 RD Yes Department of Defense Compass Systems Inc (3) - N00178-06-D-4724-M801 / CSISC14-BMI-4724-M801 / T.O. BMI-6002-09912 RD Yes Department of Defense Compass Systems Inc 17,740 - N00178-06-D-4724-M801 / CSISC14-4724-M801 / BMI -6002-1099 OPTION YEAR 112 RD Yes Department of Defense Compass Systems Inc 44,017 - CSISC14-4724-M801 / BMI-6002-2099 OPTION YEAR 212 RD Yes Department of Defense Concurrent Technologies Corp (578) - BOA-NDCEE-BATTELLE/TASK ORDER 06060027112 RD Yes Department of Defense Cubic Applications Inc 6,440 - DTRA01-03-D-0015 Mod 1412 RD Yes Department of Defense Dynamics Research Corporation 37,572 - 13442-TEAMS-BATTELLE Task Order 00112 RD Yes Department of Defense Dynetics Inc 35,622 - AL01066212 RD Yes Department of Defense Dynetics Inc 587,740 87,545 DI-SC-16-1512 RD Yes Department of Defense Dynetics Inc 283,459 216,050 DI-SC-16-15 / TO 2012 RD Yes Department of Defense Dynport Vaccine LLC 235,992 - Subcontract S1008218 ( TO 37)12 RD Yes Department of Defense Dynport Vaccine LLC 752,985 - S10082183312 RD Yes Department of Defense Dynport Vaccine LLC 94 - S100821825 C.12.1.2.9.19.8.3 - Antigen A/C.12.1.2.10.19.8.3 - Antigen B12 RD Yes Department of Defense Dynport Vaccine LLC (1) - S10082182812 RD Yes Department of Defense Dynport Vaccine LLC 33,765 - S1008218; Task Order No. 2712 RD Yes Department of Defense Dynport Vaccine LLC 47,254 - Sub Contract #: S10082183412 RD Yes Department of Defense Dynport Vaccine LLC 1,518 - S100821835 CWBS C13.1.4.1.412 RD Yes Department of Defense Dynport Vaccine LLC 4,493,433 - S45011090112 RD Yes Department of Defense Dynport Vaccine LLC 206,052 - S100821836

(Continued)

- 58 -




12 RD Yes Department of Defense Dynport Vaccine LLC 243,569$ -$ S100821826/C.12.1.2.12.2.3.12/C.12.1.2.12.2.4.1212 RD Yes Department of Defense Dynport Vaccine LLC 42,890 - S10082181512 RD Yes Department of Defense Dynport Vaccine LLC 55 - S100821819 CWBS C.13.1.1.1112 RD Yes Department of Defense Dynport Vaccine LLC 42,451 - S100821823 CWBS C.12.1.4.1.3.11.212 RD Yes Department of Defense Dynport Vaccine LLC 73,584 - S100821824 CWBS C.12.1.2.11.1.312 RD Yes Department of Defense Dynport Vaccine LLC 94,078 - S10082183112 RD Yes Department of Defense Dynport Vaccine LLC 9 - C.12.1.4.3.4.1812 RD Yes Department of Defense Dynport Vaccine LLC 32 - SubK S1008218/TO 001012 RD Yes Department of Defense Dynport Vaccine LLC 430,099 - S100821817 CWBS C.12.1.4.1.3.11.312 RD Yes Department of Defense Engility Corp (9) - 2009-OIP-Battelle-00112 RD Yes Department of Defense Engility Corp (1,546) - Blanket Release Order: EGL000565812 RD Yes Department of Defense Exelis Inc 34,327 - HDTRA1-13-C-003312 RD Yes Department of Defense Exelis Inc 40,411 - Letter of Subcontract - PO# 42656612 RD Yes Department of Defense GD-OTS Machining Operations 118 - 16-SC-007612 RD Yes Department of Defense General Dynamics 39,544 7,266 OPP10026012 RD Yes Department of Defense Geocent LLC 235,193 - GEOCENT- BOA-3115-14-001 / Task Order No. 00112 RD Yes Department of Defense Glaxosmithkline Pharmaceuticals 29 - OB10 #: AAA249049453 - Quotation #OPP11268612 RD Yes Department of Defense Glaxosmithkline Pharmaceuticals 10,084 - PO # 34639427-OS TO OPP11343112 RD Yes Department of Defense Glaxosmithkline Pharmaceuticals 150,839 - OPP116132R12 RD Yes Department of Defense Glaxosmithkline Pharmaceuticals 13,078 - 2016N289049_0012 RD Yes Department of Defense Goodrich Corp 16,183 - SUBTK NO 40103912 RD Yes Department of Defense Gryphon Scientific LLC 84,672 - Contract Number HDTRA1-15-C-0026; Project Number 123-212 RD Yes Department of Defense Harris Corp 208,976 - PO A000231676 and Ltr Subcontract A00025330812 RD Yes Department of Defense Harris Corp 253,800 - A00037195712 RD Yes Department of Defense Harris Corp 8,591 - Letter of Subcontract - PO # 43027412 RD Yes Department of Defense HX5, LLC 739,922 - BAT-S712-202L-811212 RD Yes Department of Defense Inhibikase Therapeutics (773) - SRA OPP10053112 RD Yes Department of Defense Intecon LLC (2,326) - PO 30-0014-0010/SUBCONTRACT NO. N2A2S-BATTELLE-08070612 RD Yes Department of Defense Intecon LLC 26,551 - FA2517-12-D-9000/000812 RD Yes Department of Defense Integral Consulting Services, Inc. (1) - Subcontract Agreement INTBMI-12-D-0002 Task Order #112 RD Yes Department of Defense Intuitive Research and Technology 431,468 - Subcontract: AE-T-BAT-001/Task Order 0007/Prime Contract W31P4Q-09-A-001612 RD Yes Department of Defense ITT Advanced Engineering and Sciences 177 - SUBK NSTA2222.1235.01, T.O. #0512 RD Yes Department of Defense L3 Communications 5,511 - HDTRA1-09-D-0009/PO 12JB005912 RD Yes Department of Defense Leidos Inc (34) - Subcontract No. P010153811, Prime Contract No. N00178-04-D-4119, FG0212 RD Yes Department of Defense Lightweight Innovations for Tomorrow 9,132 - Purchase Order Number 003512 RD Yes Department of Defense Lockheed Martin Corp 62,488 - 7200007875 / TO-004912 RD Yes Department of Defense Lockheed Martin Corp 245 - 4100333317/CLIN /BWII12 RD Yes Department of Defense Lockheed Martin Corp 449,812 - PO 4101088284 Op Yr 212 RD Yes Department of Defense Lockheed Martin Corp (3,287) - 410146278012 RD Yes Department of Defense Lockheed Martin Corp 8,349 - Subcontract Number 410154474512 RD Yes Department of Defense Lockheed Martin Corp (3) - 410150820112 RD Yes Department of Defense Lockheed Martin Corp 769,478 - 41S207939012 RD Yes Department of Defense Lockheed Martin Corp 1,085,457 - 41S207083812 RD Yes Department of Defense Lockheed Martin Corp 492,364 - 41S207579112 RD Yes Department of Defense Lockheed Martin Corp 69,933 - Contract No. 410216429912 RD Yes Department of Defense Lockheed Martin Corp 375,347 - 41S213222812 RD Yes Department of Defense Lockheed Martin Corp (521) - DEFINITIVE CONTRACT NO. 810000136112 RD Yes Department of Defense Mantech International Corp (4) - N41756-07-C-4049 Opt Period III Opt Period IV12 RD Yes Department of Defense Mantech International Corp 1,806 - Subcontract NO WG-13-S-00612 RD Yes Department of Defense Mantech International Corp 506,542 - Subcontract No. MSS-15-S-TM-0039 / Mantech PS No. 2932812 RD Yes Department of Defense Mantech International Corp 963,797 - BALVA-SUB000161512 RD Yes Department of Defense Materials Modifications Inc. 40,050 - Purchase Order 0320160912 RD Yes Department of Defense METSS Corp 2,115 - METSS-Battelle-6405-02-071412 RD Yes Department of Defense METSS Corp 57,937 - METSS-Battelle-6405-04-0112 RD Yes Department of Defense METSS Corp 34,122 - METSS-Battelle-6405-06-0112 RD Yes Department of Defense Nanoscale Corp 146 - PO 743512 RD Yes Department of Defense National Security Information Associates 400,905 - P.O. 2015.01812 RD Yes Department of Defense Navmar Applied Sciences Corp 489 - PO #: WP00231212 RD Yes Department of Defense Oklahoma State University (459) - Task Order 2013-BATT-00257-00112 RD Yes Department of Defense Oklahoma State University 271 - Task Order 2013-BATT-00251-00112 RD Yes Department of Defense Oklahoma State University (2,602) - Task Order 2013-BATT-00224-00212 RD Yes Department of Defense Oklahoma State University (1,366) - Task Order 2014-BATT-00272-00112 RD Yes Department of Defense Oklahoma State University (1,014) - Task Order 2014-BATT-S44512 RD Yes Department of Defense Oklahoma State University (751) - Task Order 2014-BATT-S44312 RD Yes Department of Defense Oklahoma State University (1,117) - Task Order 2014-BATT-S44612 RD Yes Department of Defense Oklahoma State University (20,472) - Task Order 2014-BATT-S45312 RD Yes Department of Defense Oklahoma State University 364,600 - Task Order 2015-BATT-S46212 RD Yes Department of Defense Oklahoma State University 211,955 200,322 2014-BATT-S46012 RD Yes Department of Defense Oklahoma State University 316,961 27,255 TO 2015-BATT-S45912 RD Yes Department of Defense Oklahoma State University 204,026 - UML-2012-BATT-001/SOF-AT&L PEO-FIXED WING12 RD Yes Department of Defense Oklahoma State University 85,675 - UML-2012-BATT-001 / SAFC V12 RD Yes Department of Defense Oklahoma State University 26,003 - UML-2012-BATT-001 / TO 2016-BATT-S46712 RD Yes Department of Defense Onconova Therapeutics Inc. 5,360 - MLSA NO. OP57383 (5464) ORDER NO. 112 RD Yes Department of Defense Orbital Sciences Corp 67,415 - Subcontract No. 102120017712 RD Yes Department of Defense PlantVax Inc 455,920 - OPP113848R312 RD Yes Department of Defense Polu Kai Services 2,286 - SUBCONTRACT12 RD Yes Department of Defense Pratt & Whitney Engine Services 61,227 - PO #440020391412 RD Yes Department of Defense Prime Solutions Group, Incorporated (1) - Subcontract Number 2015-PSG08201512 RD Yes Department of Defense Qrono Inc 143,772 - OPP11328312 RD Yes Department of Defense Qualis Corp (59,147) - FA7046-12-D-0100 / Q4181-002-002, Task Order Q4181-0002-00412 RD Yes Department of Defense Qualis Corp 457,725 - Subcontract Task Order #Q4181-002-00512 RD Yes Department of Defense Science and Technology Corporation 192,790 - Subcontract No 15-04-9031-00412 RD Yes Department of Defense SAIC (556) - OPP110316 N00178-04-D-4119. FG02 P010140888

(Continued)

- 59 -




12 RD Yes Department of Defense SAIC (303)$ -$ Subcontract No.: P01012618312 RD Yes Department of Defense Scitor Corp 367,976 - G1096-BMI12 RD Yes Department of Defense Scitor Corp 5,307 - Subcontract No. P01021928612 RD Yes Department of Defense Scitor Corp (3,601) - G1098-BMI12 RD Yes Department of Defense Signature Science LLC 334,404 - Agreement Number: S96812 RD Yes Department of Defense Star Dynamics Corporation 55,935 - Task Order 001, Star Dynamics BlueSource Synthesizer12 RD Yes Department of Defense Systems Planning and Analysis, Inc. 2,174 - Subcontract SPA-SC-3754-07-0011/ TO 005; Prime N000178-05-D-459212 RD Yes Department of Defense Systems Planning and Analysis, Inc. 1,193 - SUBCONTRACT NO. SPA-SC-3754-07-0011/TO 00312 RD Yes Department of Defense Systems Planning and Analysis, Inc. (374) - SPA-SC-3754-07-0011/TO 004 Mod 0212 RD Yes Department of Defense Technical Systems Integration Inc (1) - SUB #0199-03412 RD Yes Department of Defense Teledyne Inc 141 - PO 0011337412 RD Yes Department of Defense The Buffalo Group 159,747 - TBG-SIA2-016/00112 RD Yes Department of Defense TIAX LLC (63) - SUBCONTRACT NO 527840-00S12 RD Yes Department of Defense Tidewater Inc 13,713 - Tidewater No. 1269-02-01 / W912PL-13-D-0018 / D.O. 000312 RD Yes Department of Defense Tufts University 149,235 - Tufts Account Number: MFD62512 RD Yes Department of Defense UES Inc 22,277 - SUBCONTRACT #S-977-015-00112 RD Yes Department of Defense United Technology Corp 431,704 - Subcontract 1011643112 RD Yes Department of Defense United Technology Corp 871 - Subcontract Order #1027977012 RD Yes Department of Defense University of Dayton Research Institute (2) - OPP11401312 RD Yes Department of Defense University of Dayton Research Institute 3,542 - Subcontract No. RSC14059 / Account No. L4R01212 RD Yes Department of Defense University of Dayton Research Institute 1 - FA8650-09-D-5600/0001, Subcontract No. RSC1300312 RD Yes Department of Defense University of Pennsylvania 5,296 - 566158/10042574/1927912 RD Yes Department of Defense Yulista Holding LLC 403 - Subcontract No. DAH001-10-S-0255; Prime No. W31P4Q-10-C-R190

95,819,896 $2,176,947

14 906 Yes Department of Housing and Urban Development Silent Spring Institute 10,171 - OPP202288$10,171 $0

15 RD Yes Department of Interior Olgoonik Fairweather LLC 27,750 2,030 Service Order No. 1 / ANIMIDAIII / Job#178613-011$27,750 $2,030

17 RD Yes Department of Labor Decision Information Resources 1,064,101 864 OPP106038 Subcontract No1131$1,064,101 $864

20 0 Yes Department of Transportation Texas Transportation Institute 38,836 - Subaward No. 12-S141213 / Account No. 602971-0000320 RD Yes Department of Transportation Arinc Inc 727 - Subcontract 24988920 RD Yes Department of Transportation Cambridge Systematics 1,438 - DTFH61-10-D-00020 / PROFESSIONAL SERVICE SUBCONTRACT NO. 08380-06020 RD Yes Department of Transportation Cambridge Systematics 17,516 - DTFH61-13-D-00003 / Professional Services Subcontract No. 008780.00720 RD Yes Department of Transportation Commercial Vehicle Safety Alliance (6) - Reference No. FM-MHP-0158-14-01-0020 RD Yes Department of Transportation Computer Sciences Corp 71,116 - DTRT57-10-R-30023/Subcontract No. S5000232 / TO 004 Mod 00120 RD Yes Department of Transportation Computer Sciences Corp 113,546 - DTRT57-10-R-30023 / subk S5000232 / Task Order 00220 RD Yes Department of Transportation National Electrical Manufacturers Association 5,175 - T13-00120 RD Yes Department of Transportation SGT Inc 39,561 - Subcontract # 11-43 / TO # 120 RD Yes Department of Transportation Transportation Research Center Inc. 5,572 - PO 08920920 RD Yes Department of Transportation National Transportation Research Center 2 - SUBCONTRACT DTRT-06-G-0043-03-U26-01-01 TASK 00920 RD Yes Department of Transportation Virginia Polytechnic Institute and State University 132,113 - Subaward Agreement No. 451334-1961520 RD Yes Department of Transportation VA Tech Transportation Institute 35,755 4,669 Subaward Agreement 451282-19615 Project: DVI Configurations and HFCV Principles 2.020 RD Yes Department of Transportation VA Tech Transportation Institute 104,319 - Subaward No. 451399-1961520 RD Yes Department of Transportation Washington State Department of Transportation 78,023 - WSDOT Agreement Number: UCB 1249

$643,693 $4,669

21 RD Yes Department of the Treasury Unisys 168,658 - TIRNO-11-D-00035$168,658 $0

43 1 Yes National Aeronautics & Space Administration Columbia University (12) - SUBAWARD NO. 1(Acct #5-26107)43 RD Yes National Aeronautics & Space Administration Gridquant Inc 59,842 - Agreement Number OPP11731543 RD Yes National Aeronautics & Space Administration Intelligent Optical Systems 14,224 - OPP202247R43 RD Yes National Aeronautics & Space Administration Tidewater Inc 758 - 1205-000-02

$74,812 $0

47 RD Yes National Science Foundation Harvard University 45,734 - 1065029 (133180-5067569 NSF to Harvard)$45,734 $0

66 511 Yes Environmental Protection Agency Water Research Foundation (1) - Project Funding Agreement 0446566 RD Yes Environmental Protection Agency CSS-Dynamac Corp 27,673 - Subcontract No. 095420-BAT-PHL1 / Work Assignment Battelle-PHL3-28N-0166 RD Yes Environmental Protection Agency CSS-Dynamac Corp 17,802 - Work Assignment BAT-TO-0015-06466 RD Yes Environmental Protection Agency CSS-Dynamac Corp 7,557 - BAT-TO-0026-52666 RD Yes Environmental Protection Agency ICF International 11,606 - 13KJBO0004 / Release 48 / Work Assignment 1-4866 RD Yes Environmental Protection Agency ICF International 124 - 13KJBO0004 / Release 74 / Work Assignment 1-7466 RD Yes Environmental Protection Agency ICF International 105,738 - Subcontract No 13KJBO0004 / Release 6 / Work Assignment 2-40 / 130619.2.04066 RD Yes Environmental Protection Agency ICF International 690 - Subcontract No. 13KJBO0004 130619.1.06466 RD Yes Environmental Protection Agency ICF International 57,841 - Subcontract No. 13KJBO0004 / Release 7 / Work Assignment 2-24 / 130619.2.02466 RD Yes Environmental Protection Agency ICF International 18,735 - Subcontract No. 13KJBO0004 130619.1.04066 RD Yes Environmental Protection Agency ICF International 223 - Subcontract No. 13KJBO0004 130619.1.02466 RD Yes Environmental Protection Agency New England Interstate Water Pollution Control Commission (5) - I98297408066 RD Yes Environmental Protection Agency Pegasus Technical Services Inc 49,316 - PEGSUB-BMI-14-00166 RD Yes Environmental Protection Agency Pegasus Technical Services Inc 18,522 - Subcontract BMI-16-001

$315,821 $0

81 89 Yes Department of Energy University of Louisiana at Lafayette 30,941 - Subaward No. 12-1132-381 89 Yes Department of Energy University of Wyoming 155,680 - UW Subaward ID: 1002941-Battelle81 RD Yes Department of Energy GSI Environmental Inc. 428 - 2015-111-10-12-0181 RD Yes Department of Energy Leidos Inc 2,434 - Subcontract No. P010160643; Prime Contract No. 30492-BA-0011/0025

(Continued)

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81 RD Yes Department of Energy Mele Associates, Inc. 375,790$ -$ GS-23F-187P/DE-BP0003375/15-0000028 - Option Year81 RD Yes Department of Energy Olympic Research, Inc. 52,665 - OPP20082981 RD Yes Department of Energy Olympic Research, Inc. 11,584 - OPP20083081 RD Yes Department of Energy Research Partnership to Secure Energy 63,763 2,551 Subcontract # 11122-7381 RD Yes Department of Energy Schlumberger Technology Corp 17,006 - OPP200828R81 RD Yes Department of Energy Stoller Corp 23,140 - Purchase Order No. LMCP383681 RD Yes Department of Energy WR Grace & Co 20,271 - PO # 45020004887

$753,702 $2,551

84 395 Yes Department of Education ARRA-OH DEPT OF EDUCATION (1,935) - EDU01-000001392584 395 Yes Department of Education ARRA-TENNESSEE DEPARTMENT OF EDUCATON (4,553) - Grant GR1134299

($6,488) $0

93 77 Yes Department of Health and Human Services University of Maryland 1,772,895 8,550 P50CA180523 Grant # 4P50CA180523-04 Sub Award # 39945 - Z072600193 77 Yes Department of Health and Human Services University of Maryland 126,344 - 16397-Z057200193 77 Yes Department of Health and Human Services University of Vermont 57,165 - 29068 SUB52128 Battelle93 262 Yes Department of Health and Human Services Emory University 171,036 - Subcontract No. T617120 - Year 293 286 Yes Department of Health and Human Services Mayo Clinic 5,615 - Prime Award No. 5U01EB017185-0393 846 Yes Department of Health and Human Services University of North Carolina 36,780 - 1R01AR060852-01A193 867 Yes Department of Health and Human Services University of Illinois at Chicago 582 - OPP109091; SUBAWARD NO.: 201302032-01-00; CFDA #: 93.86793 867 Yes Department of Health and Human Services University of Illinois at Chicago 178 - Prime Award No U10 EY023575; CFDA No: 93.86793 867 Yes Department of Health and Human Services University of Southern California 1,027,503 - Prime Award No. 7U10EY023575-02 Subaward No. 5239885393 93.HHSO10020110 Yes Department of Health and Human Services Southwest Research Institute 28,197 - HHSO100201100038C / T.O. SUBCONTRACT NO. 1401FL0056 / TASK ORDER NO. 0193 93.HHSO10020110 Yes Department of Health and Human Services Southwest Research Institute 1,262 - HHSO100201100038C / T.O. SUBCONTRACT NO. 1401FL0058 / TASK ORDER NO. 0393 93.HHSO10020110 Yes Department of Health and Human Services Southwest Research Institute 1,262 - HHSO100201100038C / T.O. SUBCONTRACT NO. 1401FL0059 / TASK ORDER NO. 0493 93.HHSO10020110 Yes Department of Health and Human Services Southwest Research Institute 1,228 - HHSO100201100038C / T.O. SUBCONTRACT NO. 1401FL0060 / TASK ORDER NO. 0593 93.HHSO10020110 Yes Department of Health and Human Services Southwest Research Institute 51,608 - HHSO100201100038C/T.O. Subcontract No. H99003CP/Task Order No. 0693 93.HHSO10201100 Yes Department of Health and Human Services Southwest Research Institute 27,703 - HHSO100201100038C / T.O. SUBCONTRACT NO. 1401FL0057 / TASK ORDER NO. 0293 RD Yes Department of Health and Human Services Altamira, LLC 16,512 - 131941-SY193 RD Yes Department of Health and Human Services Altimmune, Inc. 2,054 - SUBCONTRACT NO. OP5168893 RD Yes Department of Health and Human Services Altimmune, Inc. (1) - OPP112897R MSA OPP110024/CON0001584693 RD Yes Department of Health and Human Services Altimmune, Inc. 185,000 - Study Authorization OPP202973; Master Services Agreement OPP11002493 RD Yes Department of Health and Human Services American Type Culture Collection 56,403 - BOA-03-2005-001/TASK 793 RD Yes Department of Health and Human Services Arkansas Department of Human Services 5,296 - CONTRACT # 4600012020 / VENDOR # 100080230 / YEAR 593 RD Yes Department of Health and Human Services Bavarian Nordic GMBH 5,235 - HHSO100201000011C / FD COA# 1293 RD Yes Department of Health and Human Services Bavarian Nordic GMBH 6,079 - HHSO100201000011C / FD COA# 1193 RD Yes Department of Health and Human Services Crucell N.V. 164,057 - OPP11844393 RD Yes Department of Health and Human Services Crucell N.V. 2,079 - ICD 95437193 RD Yes Department of Health and Human Services Drexel University (1) - Prime No. 6049.08-S01, Subaward No. 239959, Formative Research Study #893 RD Yes Department of Health and Human Services Duke University 6,071 - OPP102956 / 1R01AG042130-01 NIH/NIAAA93 RD Yes Department of Health and Human Services Dynport Vaccine Co 142,163 - S1008551 HHSN266200500041C93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 13,725 - LSA No. OPP10707393 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 3,718 - OPP107070/ LSA NO. OP4583693 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 590 - OPP10856493 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 14,977 - OPP110070 AP20293 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 1,244 - OPP109197R (AR024)/LSA OP4583693 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 754 - OPP106100 Program Management93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 325 - OPP110563 Free PA ELISA Critical Reagent LTS93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 825 - OPP111498R Transfer of Datasets to PointCross93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 1,370 - OPP111694 SOP Identification93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 1,992 - OPP111682R Transfer of Datasets to PointCross93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 6,115 - LABORATORY SERVICES AGREEMENT NO. OP45836 TO PROPOSAL NO. OPP112289R93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 5,304 - OPP113341R2 Preparing Case Report Forms for Closed Elusys Studies93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 2,460 - OPP114349 Testing on Free Pa ELISA Critical Reagents in Cynomolgus Macaques93 RD Yes Department of Health and Human Services Elusys Therapeutics Inc 2,507 - OPP114286 Testing on Free PA ELISA Critical Reagents in Rabbit Serum93 RD Yes Department of Health and Human Services Emergent Biosolutions 495,603 - HHSO100201000034C EPDG-11-B55000593 RD Yes Department of Health and Human Services Emergent Biosolutions (9) - HHSN272201000035C TASK ORDER 004 EPDG-12-AV7909PII-000393 RD Yes Department of Health and Human Services Emergent Biosolutions (223) - HHSO100201000059C Task Order 002 EPDG-13-RPA-000493 RD Yes Department of Health and Human Services Emergent Biosolutions 1,962,692 - Subcontract Agreement No EPDG-15-AV7909PH3-S-0001 / HHSO100201500004C93 RD Yes Department of Health and Human Services Emergent Biosolutions 84,436 - OPP116998_OPP118958_Subcontract Agreement # EPDG-11-B55-0005_HHSO100201000034C93 RD Yes Department of Health and Human Services Emergent Biosolutions 5 - HHSN272201000035C Task Order 002 EPDG-12-AV790PII-000393 RD Yes Department of Health and Human Services Emergent Biosolutions 953,530 - Sub Agreement No. EPDG-15-AV7909PH3-S-0001 / HHS100201500004C93 RD Yes Department of Health and Human Services Enterprise Science and Computing 861,056 47,083 Subcontract Agreement No. CMS-eCQMS-00193 RD Yes Department of Health and Human Services JBS International 4,311 - NAICS NUMBER 54169093 RD Yes Department of Health and Human Services John Hopkins School of Public Health 13 - HHSN275200800033C / PO# 200073558593 RD Yes Department of Health and Human Services John Hopkins School of Public Health 4,087 - HHSN2752008000033C93 RD Yes Department of Health and Human Services Leidos Inc 173,146 - Basic Ordering Agreement #12XS323, Task Order #6, 2DG GLP Toxicology93 RD Yes Department of Health and Human Services National Institute of Statistical Science 19 - N01-ES-65406/T.O. BC #2(6-09)93 RD Yes Department of Health and Human Services Novartis Pharmaceutical Corporation 482,817 - OPP116787_HHSO100201000061C93 RD Yes Department of Health and Human Services Pharmathene 43 - STUDY NO. OP40763R393 RD Yes Department of Health and Human Services Plowshare Group, Inc. 546,045 1,563 Subcontract Number PSG-00293 RD Yes Department of Health and Human Services Rempex Pharmaceuticals 83,300 64,421 01367993 RD Yes Department of Health and Human Services University of Nevada School of Medicine 15,012 - 12WB182660 / ITEM 00193 RD Yes Department of Health and Human Services University of North Carolina (1,846) - UNC-CH 5-55026 5-55027 DURHAM COUNTY93 RD Yes Department of Health and Human Services University of North Carolina (452) - UNC-CH #5-5379593 RD Yes Department of Health and Human Services University of North Carolina 289 - UNC-CH 5-5033793 RD Yes Department of Health and Human Services University of North Carolina 704,800 - Subaward No. 5-51220 Year 7 - Amendment No. 293 RD Yes Department of Health and Human Services University of North Carolina 282 - UNC-CH 5-3884993 RD Yes Department of Health and Human Services Washington University School of Medicine 107 - P.O. 87340

$10,325,274 $121,617

(Continued)

- 61 -




97 RD Yes Department of Homeland Security ATH Solutions Inc (1,755)$ -$ Subcontract No. DHS-S-00297 RD Yes Department of Homeland Security ICF International (1) - HSHQDC-09-D-00060 Mod 00197 RD Yes Department of Homeland Security Nexight Group LLC 576,641 - Subcontract Order NGPO-15001 Option Year 497 RD Yes Department of Homeland Security Noblis Inc 858,309 - Subcontract No. 34145 / Task Order 3419197 RD Yes Department of Homeland Security Northrop Grumman Corp 1,180,593 270,748 Letter Subcontract Number SC-TMEI2016-001 IDIQ with 750013930397 RD Yes Department of Homeland Security Northrop Grumman Corp (58) - Subcontract No. DHSOCAST-2013-001 Purchase Order Number 750011575897 RD Yes Department of Homeland Security Red Gate Group Limited 2,492 - Subcontract No. 0262X-00041-001 / GS-10-F-0262X / HSHQDC-14-F-0004197 RD Yes Department of Homeland Security Systems Planning & Analysis Inc (79) - GS-23F-8167H/SPA-SC-1774-08-0005/SIN 874-1

$2,616,142 $270,748

98 RD Yes Agency for International Development Cadmus Group Inc. 8,157 - AID-OAA-13-00018 / Task Order 298 RD Yes Agency for International Development Cadmus Group Inc. 2,259 - GEMS2-BMI-1 / Task Order 3

$10,416 $0

Total Indirect Funding 111,930,794$ 2,579,424$

Total Expenditures of Federal Awards 596,771,884$ 144,194,760$

(Continued)

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Agency Direct Indirect TotalCode Federal Agency Major Sub Agency/Program Title Expenditures Expenditures Expenditures

3. Agency Summary

10 Department of Agriculture Agriculture and Food Research Initiative $0 $61,112 $61,112

12 Department of Defense Air Force 7,607,584 2,281,810 $9,889,39412 Department of Defense Army 60,473,153 63,962,396 $124,435,54912 Department of Defense Central Command 1,675,969 - $1,675,96912 Department of Defense Classified 49,675,238 11,608,269 $61,283,50712 Department of Defense Combating Terrorism Technical Support Group 7,085 - $7,08512 Department of Defense Defense Advanced Research Projects Agency 5,585,189 56 $5,585,24512 Department of Defense Defense Information Systems Agency (5) - ($5)12 Department of Defense Defense Intelligency Agency 26 - $2612 Department of Defense Defense Logistics Agency 621,317 3,542 $624,85912 Department of Defense Efficacy study of ON 01210.Na - 5,360 $5,36012 Department of Defense Joint ESTCP 65,692 - $65,69212 Department of Defense Joint IED Defeat Organization (110) - ($110)12 Department of Defense Joint Nonlethal Weapons Program 162 - $16212 Department of Defense Joint Program Executive Office 86,432,816 1,669 $86,434,48512 Department of Defense Joint Program Office 22,675,630 7,006,544 $29,682,17412 Department of Defense Joint Requirements Office 5,628,429 - $5,628,42912 Department of Defense Missile Defense Agency - 66,893 $66,89312 Department of Defense National Guard Bureau (6,513) - ($6,513)12 Department of Defense Navy 42,782,722 627,451 $43,410,17312 Department of Defense Office of the Deputy Assistant Secretary 149,424 - $149,42412 Department of Defense Office of the Secretary (212) 692,146 $691,93412 Department of Defense Pentagon Force Protection Agency 7,074 - $7,07412 Department of Defense Property and Fiscal Office 2,689 - $2,68912 Department of Defense Special Operations Command 2,787,598 1,610,835 $4,398,43312 Department of Defense Technical Information Center 1,666,624 - $1,666,62412 Department of Defense Stategy Environmental Restoration - 1,116 $1,11612 Department of Defense Threat Reduction Agency 27,500 7,927,584 $7,955,08412 Department of Defense US Northern Command (313) 24,225 $23,91212 Department of Defense US Strategic Command 563,446 - $563,44612 Department of Defense Washington Headquarters Service 240,338 - $240,338

$288,668,552 $95,819,896 $384,488,448

14 Department of Housing and Urban Development Healthy Homes Technical Studies Grants $0 $10,171 $10,171

15 Department of Interior Bureau of Ocean Energy Management $0 $27,750 $27,750

16 Department of Justice Federal Bureau of Investigation (858) - ($858)16 Department of Justice National Institute of Justice 575,701 - $575,701

$574,843 $0 $574,843

17 Department of Labor Office of Job Corps 59,849 - $59,84917 Department of Labor Labor Employment and Training Administration - 1,064,101 $1,064,101

$59,849 $1,064,101 $1,123,950

20 Department of Transportation Highway Research and Development Program (620) - ($620)20 Department of Transportation Federal Aviation Administration 318,286 - $318,28620 Department of Transportation Federal Highway Administration 4,200,101 141,709 $4,341,81020 Department of Transportation Federal Motor Carrier Safety Admin 31 - $3120 Department of Transportation Federal Transit Administration 2,084,075 - $2,084,07520 Department of Transportation National Highway Traffic Safety Admin 619,665 277,759 $897,42420 Department of Transportation Research and Innovative Technology Administration - 2 $220 Department of Transportation Transportation Research Board 144,164 - $144,16420 Department of Transportation Volpe Transportation Systems Center 8,989 224,223 $233,212

$7,374,691 $643,693 $8,018,384

21 Department of Treasury Internal Revenue Service $0 $168,658 $168,658

43 National Aeronautics & Space Administration Science Funds 59,245 (12) $59,23343 National Aeronautics & Space Administration Ames Research Center 7,605 - $7,60543 National Aeronautics & Space Administration Glenn Research Center 54,321 - $54,32143 National Aeronautics & Space Administration Holomorphic Embedded Load Flow - 59,842 $59,84243 National Aeronautics & Space Administration Improvement/Optimization at MH - 758 $75843 National Aeronautics & Space Administration Jet Propulsion Lab 1,512 - $1,51243 National Aeronautics & Space Administration Johnson Space Center 2,387 14,224 $16,611

$125,070 $74,812 $199,882

47 National Science Foundation Biological Sciences 50,416,783 - $50,416,78347 National Science Foundation Division of Biological Infrastructure - 45,734 $45,734

$50,416,783 $45,734 $50,462,517

66 Environmental Protection Agency International Financial Assistance Projects 228,203 - $228,20366 Environmental Protection Agency Research/Training/Fellowships - (1) ($1)66 Environmental Protection Agency Air Quality Planning and Standards Office 1,160,962 - $1,160,96266 Environmental Protection Agency Environmental Assessment Center - 175,999 $175,99966 Environmental Protection Agency Great Lakes National Program Office - 49,316 $49,316

(Continued)

- 63 -



Agency Direct Indirect TotalCode Federal Agency Major Sub Agency/Program Title Expenditures Expenditures Expenditures

66 Environmental Protection Agency Homeland Security Research Center 888,326$ 18,958$ $907,28466 Environmental Protection Agency National Center for Environmental Assessment 1,383 - $1,38366 Environmental Protection Agency National Exposure Research Lab 10,166 - $10,16666 Environmental Protection Agency Nutrient Assessment and Management - (5) ($5)66 Environmental Protection Agency Oceans and Coastal Protection 954,061 - $954,06166 Environmental Protection Agency Office of Pollution Prevention 152,185 - $152,18566 Environmental Protection Agency Office of Research and Development 276,147 43,881 $320,02866 Environmental Protection Agency Office of Science Coordination 91,152 - $91,15266 Environmental Protection Agency Office of Solid Waste and Emergency Response 34,887 $34,88766 Environmental Protection Agency Office of Water 4,000 - $4,00066 Environmental Protection Agency Portable High-Throughput Integ - 27,673 $27,67366 Environmental Protection Agency Region Two Assessment Office 17,550 - $17,55066 Environmental Protection Agency Risk Management Research Lab 2,034,638 - $2,034,638

$5,853,660 $315,821 $6,169,481

77 Nuclear Regulatory Commission Office of Nuclear Regulatory Research 73,062 - $73,06277 Nuclear Regulatory Commission PES Piping Integrity Analysis 90,177 - $90,177

$163,239 $0 $163,239

81 Department of Energy Renewable Energy Research and Development 304,537 - $304,53781 Department of Energy Fossil Energy Research and Development 9,385,953 186,621 $9,572,57481 Department of Energy ARPA-E (110) - ($110)81 Department of Energy Assessment of Subsurface Brine - 63,763 $63,76381 Department of Energy Expanding the Impact of SERDP - 428 $42881 Department of Energy Legacy Management - 23,140 $23,14081 Department of Energy National Energy Technology Lab 560,192 20,271 $580,46381 Department of Energy National Nuclear Security Administration (19,167) 375,790 $356,62381 Department of Energy Oakridge National Lab - 2,434 $2,43481 Department of Energy Office of Science - 64,249 $64,24981 Department of Energy Office of Nuclear Energy 2,410,758 - $2,410,75881 Department of Energy Risk Assessment for MVA - 17,006 $17,00681 Department of Energy Renewable Energy Research and Development (389) - ($389)

$12,641,774 $753,702 $13,395,476

84 Department of Education ARRA-Race to the Top $0 ($6,488) ($6,488)

93 Department of Health and Human Services Arthritis, Musculoskeletal and Skin Diseases Research - 36,780 $36,78093 Department of Health and Human Services Food & Drug Administration Research 38,960 - $38,96093 Department of Health and Human Services Discovery and Applied Rsrch for Tech. Innovations to Improve Human Health - 5,615 $5,61593 Department of Health and Human Services Family Smoking Prevention and Tobacco Control Act Regulatory Research - 1,956,404 $1,956,40493 Department of Health and Human Services Mental Health Research Grants (2,014) - ($2,014)93 Department of Health and Human Services Occupational Health and Safety Program - 171,036 $171,03693 Department of Health and Human Services Vision Research - 1,028,263 $1,028,26393 Department of Health and Human Services Drug Abuse and Addition Research Programs (343) - ($343)93 Department of Health and Human Services Cancer Cause and Prevention Research 397,412 - $397,41293 Department of Health and Human Services Child Health and Human Development Extramural Research 149,144 - $149,14493 Department of Health and Human Services Agency for Healthcare Research (3,448) - ($3,448)93 Department of Health and Human Services Biomed Advanced Research Development Authority 2,748,587 4,341,194 $7,089,78193 Department of Health and Human Services Center for Advancing Translational - 64,226 $64,22693 Department of Health and Human Services Centers for Disease Control 21,903,730 550,889 $22,454,61993 Department of Health and Human Services Centers for Medicare Medicaid Services 3,758,595 861,056 $4,619,65193 Department of Health and Human Services Food & Drug Administration 1,095,205 16,512 $1,111,71793 Department of Health and Human Services Immunoassay for capsular antigen for rapid diagnosis of anthrax - 15,012 $15,01293 Department of Health and Human Services National Cancer Institute 1,138,231 - $1,138,23193 Department of Health and Human Services National Institute of Allergy and Infectious Disease 40,304,669 198,609 $40,503,27893 Department of Health and Human Services National Institute of Child Health - 2,253 $2,25393 Department of Health and Human Services National Institute of Dental & Craniofacial Research - 289 $28993 Department of Health and Human Services National Institute of Environmental Health 18,158,001 - $18,158,00193 Department of Health and Human Services National Institute on Alcohol Abuse and Alcoholism 5,574 - $5,57493 Department of Health and Human Services National Institute on Drug Abuse 16,326 - $16,32693 Department of Health and Human Services National Institutes of Health 1,402,972 1,072,806 $2,475,77893 Department of Health and Human Services National Institute of Occupational Safety 90 - $9093 Department of Health and Human Services National Institute of Statistical Science 31,324 - $31,32493 Department of Health and Human Services Office of Assistant Secretary for Planning and Evaluation 6,493 - $6,49393 Department of Health and Human Services Standardization Experiment for Toxigenomics Research - 19 $1993 Department of Health and Human Services Substance Abuse and Mental Health Serices Administration - 4,311 $4,31193 Department of Health and Human Services Program Support Center 4,345 - $4,345

$91,153,853 $10,325,274 $101,479,127

97 Department of Homeland Security Advanced Research Projects Agency (1,133) - ($1,133)97 Department of Homeland Security Chemical Security Analysis Center 4,007,785 - $4,007,78597 Department of Homeland Security Coast Guard (459) - ($459)97 Department of Homeland Security Domestic Nuclear Detection Agency 738,166 - $738,16697 Department of Homeland Security Federal Emergency Management Agency 23,116 - $23,11697 Department of Homeland Security National Biodefense Analysis and Countermeasures Center (2,747) (79) ($2,826)97 Department of Homeland Security National Protection and Programs Directorate (1) 576,641 $576,64097 Department of Homeland Security Office of Health Affairs (2) - ($2)97 Department of Homeland Security Office of Infrastructure Protection - 2,491 $2,49197 Department of Homeland Security Science and Technology Directorate 16,069,552 856,496 $16,926,04897 Department of Homeland Security Transportation Security Administration 4,756,234 1,180,593 $5,936,82797 Department of Homeland Security US Secret Service 2,019,418 - $2,019,418

$27,609,929 $2,616,142 $30,226,071

98 USAID ESIA Workshop Preparation - 2,259 $2,25998 USAID Reg-216 NEPA comparison - 8,157 $8,157

$0 $10,416 $10,416

99 Miscellaneous US Postal Service $198,847 $0 $198,847

Total Expenditures of Federal Awards $484,841,090 $111,930,794 $596,771,884

(Concluded)Battelle's basic operation is fee-for-service research and development. The contract mix includes types of work such as chemical demilitarization, minor amounts of manufacturing assembly, and service contracts: however, they all have research and development in nature. As such, contracts without a CFDA number are reported in the Research and Development cluster (RD).


NOTES TO SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS FOR THE YEAR ENDED SEPTEMBER 30, 2016

1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES

Basis of Presentation—The accompanying schedule of expenditures of federal awards(the “Schedule”) summarizes the expenditures of Battelle Memorial Institute (BMI) andsubsidiaries (the “Company”) under programs funded by the federal government for theyear ended September 30, 2016. The Schedule has been prepared on the accrual basis inaccordance with accounting principles generally accepted in the United States of Americaand includes all grants and contracts entered into directly between the Company andagencies and departments of the federal government, as well as funds passed through tothe Company by other recipients. In accordance with the Uniform Grant Guidance 2 CFR200 (§200.38 Federal award) the Schedule does not include amounts received to operategovernment-owned, contractor-operated facilities. Negative amounts reported on theSchedule are adjustments or credits made in the normal course of business to amountsreported as expenditures in prior fiscal years.

Research and Development Cluster—OMB Uniform Guidance defines research anddevelopment as follows: research is a systematic study directed toward fuller scientificknowledge or understanding of the subject studied; development is the systematic use ofknowledge and understanding gained from research directed toward the production ofuseful materials, devices, systems, or methods, including design and development ofprototypes and processes.

Subrecipient—Certain funds are passed through to subgrantee organizations by theCompany. Expenditures incurred by the subgrantees and reimbursed by the Company arepresented in the Schedule.

The Company is also the subrecipient of funds, which have been reported as expendituresand listed as pass-through funds.

National Ecology Observatory Network Inc. (dba Battelle Ecology Inc.)—EffectiveApril 8, 2016, BMI assumed management of operations under contracts which had beenawarded to National Ecology Observatory Network Inc. (“NEON”). Expenditures of federalfunds on cost reimbursement type contracts assumed by BMI incurred from April 8, 2016through September 30, 2016 are reported on the Company’s Schedule. Expenditures onthose contracts incurred prior to April 8, 2016 are not reported separately on the Scheduleand are reported on National Ecology Observatory Network (NEON) Inc.’s Schedule.

2. NONCASH AWARDS

During the year ended September 30, 2016, the Company did not receive nonmonetaryassistance.

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3. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES FOR PROGRAMEXPENDITURES

Expenditures consist of direct and indirect costs. Direct costs are those that can be easilyidentified with an individual sponsored project. The salary cost of a lead scientist ortechnical specialist and the materials consumed by the project are examples of directcosts. Indirect costs are the costs of services and resources that benefit both sponsoredand non-sponsored projects.

Columbus-based operations projects use indirect costs rates to charge indirect costs toindividual sponsored projects. The rates are the result of a number of complex costallocation procedures that the Company uses to allocate its indirect costs to bothsponsored and non-sponsored activities. The indirect costs allocated to sponsored projectsare divided by the direct costs of sponsored projects to arrive at a rate. These indirectrates are reviewed by the Defense Contract Audit Agency and approved by the cognizantAdministrative Contracting Officer within the Defense Contract Management Agency.

Indirect costs included in the expenditures reported by Battelle Ecology Inc. are basedupon provisional indirect cost rates prescribed by the National Science Foundation andapplied to the appropriate allocation base.

The Battelle Education subsidiary has elected to charge the de minimis indirect cost rate of10% as permitted under the Uniform Grant Guidance.

4. LOANS/LOAN GUARANTEES

Battelle does not have loan balances outstanding at the end of fiscal year 2016 reportablein accordance with §200.502—“Basis for determining Federal awards expended”.

5. CLASSIFIED INFORMATION

Due to the nature of research and development that the Company performs on behalf ofthe federal government, various contracts and project information is considered classified,which includes “Top Secret,” “Secret,” or “Confidential.” As a result, the Schedule reflectssummarized data by agency in order to properly safeguard various information as requiredby the federal government.

6. RELATIONSHIP TO CONSOLIDATED FINANCIAL STATEMENTS

Awards in the amount of $596,771,884 are reported as a portion of total project revenuein the Company’s consolidated financial statements as revenue from operations.

* * * * * *

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INDEPENDENT AUDITOR’S REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING AND ON COMPLIANCE AND OTHER MATTERS BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN ACCORDANCE WITH GOVERNMENT AUDITING STANDARDS

To the Board of Directors of Battelle Memorial Institute and Subsidiaries Columbus, Ohio

We have audited, in accordance with the auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States, the consolidated financial statements of Battelle Memorial Institute and Subsidiaries (“Battelle”), which comprise the consolidated balance sheet as of September 30, 2016, and the related consolidated statements of operations, comprehensive income (loss), changes in equity balances, and cash flows for the year then ended, and the related notes to the financial statements, and have issued our report thereon dated December 19, 2016.

Internal Control over Financial Reporting

In planning and performing our audit of the consolidated financial statements, we considered Battelle’s internal control over financial reporting (“internal control”) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the consolidated financial statements, but not for the purpose of expressing an opinion on the effectiveness of Battelle’s internal control. Accordingly, we do not express an opinion on the effectiveness of Battelle’s internal control.

A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance.

Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies and therefore, material weaknesses or significant deficiencies may exist that were not identified. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses. We did identify a deficiency in internal control, described in the accompanying Schedule of Findings and Questioned Costs as item 2016-001 that we consider to be a significant deficiency.

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Battelle’s Response to Finding

Battelle’s response to the finding identified in our audit is described in the accompanying Schedule of Findings and Questioned Costs. Battelle’s response was not subjected to the auditing procedures applied in the audit of the financial statements and, accordingly, we express no opinion on it.

Compliance and Other Matters

As part of obtaining reasonable assurance about whether Battelle’s consolidated financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards.

Purpose of this Report

The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the result of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.

Columbus, Ohio December 19, 2016

INDEPENDENT AUDITORS’ REPORT ON COMPLIANCE FOR EACH MAJOR FEDERAL PROGRAM; REPORT ON INTERNAL CONTROL OVER COMPLIANCE; AND REPORT ON SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS REQUIRED BY THE UNIFORM GUIDANCE

To the Board of Directors of Battelle Memorial Institute and Subsidiaries Columbus, Ohio

Report on Compliance for Each Major Federal Program

We have audited Battelle Memorial Institute and subsidiaries (“Battelle”) compliance with the types of compliance requirements described in the OMB Compliance Supplement that could have a direct and material effect on each of Battelle’s major federal programs for the year ended September 30, 2016. Battelle’s major federal programs are identified in the summary of auditor’s results section of the accompanying schedule of findings and questioned costs.

Management’s Responsibility

Management is responsible for compliance with federal statutes, regulations, and the terms and conditions of its federal awards applicable to its federal programs.

Auditor’s Responsibility

Our responsibility is to express an opinion on compliance for each of Battelle’s major federal programs based on our audit of the types of compliance requirements referred to above. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and the audit requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Those standards and the Uniform Guidance require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about Battelle’s compliance with those requirements and performing such other procedures as we considered necessary in the circumstances.

We believe that our audit provides a reasonable basis for our opinion on compliance for each major federal program. However, our audit does not provide a legal determination of Battelle’s compliance.

Opinion on Each Major Federal Program

In our opinion, Battelle complied, in all material respects, with the types of compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended September 30, 2016.

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Other Matters

The results of our auditing procedures disclosed an instance of noncompliance, which is required to be reported in accordance with the Uniform Guidance and which is described in the accompanying schedule of findings and questioned costs as item 2016-002. Our opinion on each major federal program is not modified with respect to this matter.

Battelle’s response to the noncompliance finding identified in our audit is described in the accompanying Schedule of Findings and Questioned Costs. Battelle’s response was not subjected to the auditing procedures applied in the audit of compliance and, accordingly, we express no opinion on the response.

Report on Internal Control Over Compliance

Management of Battelle is responsible for establishing and maintaining effective internal control over compliance with the types of compliance requirements referred to above. In planning and performing our audit of compliance, we considered Battelle’s internal control over compliance with the types of requirements that could have a direct and material effect on each major federal program to determine the auditing procedures that are appropriate in the circumstances for the purpose of expressing an opinion on compliance for each major federal program and to test and report on internal control over compliance in accordance with the Uniform Guidance, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of Battelle’s internal control over compliance.

A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected, on a timely basis. A significant deficiency in internal control over compliance is a deficiency, or a combination of deficiencies, in internal control over compliance with a type of compliance requirement of a federal program that is less severe than a material weakness in internal control over compliance, yet important enough to merit attention by those charged with governance.

Our consideration of internal control over compliance was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over compliance that might be material weaknesses or significant deficiencies and therefore, material weaknesses or significant deficiencies may exist that were not identified. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified. However, we identified a deficiency in internal control over compliance, as described in the accompanying schedule of findings and questioned costs as item 2016-002 that we consider to be a significant deficiency.

Battelle’s response to the internal control over compliance findings identified in our audit are described in the accompanying schedule of findings and questioned costs. Battelle’s response was not subjected to the auditing procedures applied in the audit of compliance and, accordingly, we express no opinion on the response.

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The purpose of this report on internal control over compliance is solely to describe the scope of our testing of internal control over compliance and the results of that testing based on the requirements of the Uniform Guidance. Accordingly, this report is not suitable for any other purpose.

Report on Schedule of Expenditures of Federal Awards Required by the Uniform Guidance

We have audited the financial statements of Battelle as of and for the year ended September 30, 2016, and have issued our report thereon dated December 19, 2016, which contained an unmodified opinion on those financial statements. Our audit was conducted for the purpose of forming an opinion on the financial statements as a whole. The accompanying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by the Uniform Guidance and is not a required part of the financial statements. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the financial statements. The information has been subjected to the auditing procedures applied in the audit of the financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated in all material respects in relation to the financial statements as a whole.

Columbus, Ohio June 26, 2017


SUPPLEMENTAL SCHEDULE OF FINDINGS AND QUESTIONED COSTS FOR THE YEAR ENDED SEPTEMBER 30, 2016

PART I—SUMMARY OF AUDITORS’ RESULTS

Financial Statements

Type of auditors’ report issued on whether the financial statements audited were prepared in accordance with GAAP: unmodified

Internal control over financial reporting:

• Material weakness(es) identified? yes X no

• Significant deficiency(ies) identified notconsidered to be material weaknesses? X yes none reported

Noncompliance material to financial statements noted? yes X no

Federal Awards

Internal control over major programs:

• Material weakness(es) identified? yes X no

• Significant deficiency(ies) identified notconsidered to be material weaknesses(es)? X yes none reported

Type of auditors’ report issued on compliance for major federal programs: unmodified

Any audit findings disclosed that are required to be reported in accordance with 2 CFR 200.516(a)? X yes no

Identification of Major Program:

CFDA Number Name of Federal Program or Cluster

Research & Development Cluster

Dollar threshold used to distinguish between Type A and Type B programs $3,000,000

Auditee qualified as low-risk auditee? X yes no

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PART II—FINANCIAL STATEMENT FINDINGS

2016-001

Significant Deficiency

Criteria—The basis of this finding is consideration of the internal control over financial reporting under the COSO framework.

Condition—Testing of other postretirement benefits (“OPEB”) demographic detail revealed a deficiency in the design and implementation of a control relating to the review of demographic detail used in the preparation of the estimate of the liability. During detail testing of demographic detail, we discovered that the demographic detail inappropriately excluded 138 employees.

Cause—The appropriate control structure did not exist to take into consideration the changes in the OPEB plan. Specifically, there was a gap in controls to address consideration of individuals who were vested and eligible to participate in the plan, but were on COBRA during the year.

Effect—The OPEB liability was estimated to be understated by approximately $8.6 million and was an uncorrected error.

Context—The OPEB liability was estimated to be understated by approximately $8.6 million and was an uncorrected error.

Recommendation—Review the demographic process to develop appropriate internal controls surrounding OPEB demographic detail.

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Views of Responsible Officials and Planned Corrective Action—Battelle concurs with the audit finding and is implementing corrective action. Plan’s actuary will meet annually with Benefits and Corporate Accounting prior to the creation of the annual data file to plan for the annual retiree valuation cycle, with a portion of the discussion being related to changes year-over-year that may have impacted the employee status (specifically related to plan eligibility). The Benefits department will maintain documentation of the meeting, which will provide confirmation of discussion of items such as special events that could have impact of participant coverage (or lack of such special events).

PART III—FEDERAL AWARD FINDINGS AND QUESTIONED COSTS

2016-002

Significant Deficiency

Subrecipient Monitoring

Federal Agency All R&D Cluster with sub-recipient activity

Source All R&D Cluster with sub-recipient activity

CFDA# All R&D Cluster with sub-recipient activity

Program Name All with sub-recipient activity

Related Federal Award Identification Number and Budget Period

All with sub-recipient activity

Criteria—There is no Battelle control that is precise in its design and implementation related to the monitoring occurring subsequent to the procurement process which requires monitoring subrecipient use of federal awards through review of vendor invoices.

Condition—A control has not been implemented that defines expectations of the project manager to specify the requested payment is for allowable costs and is appropriate under the context of the agreement before accepting receipt of the invoice to enable the 3-way match and subsequent payment of the invoice to the vendor.

Cause—A control has not been implemented that demonstrates that the project manager that accepts receipt of the invoice to enable the 3-way match and subsequent payment of the invoice is approving the invoice and that it is an allowable cost and appropriate under the context of the agreement. Lack of documentation and information dissemination describing specific factors to be reviewed by a project manager when approving invoices for payment.

Effect—Individual vendor invoices lack specific factors to review by a project manager when approving invoices for payment which could lead to inaccurate reporting of federal expenditures and/or non-compliance with contract terms and conditions.

Questioned Costs—None noted.

Context—There is no Battelle control that is precise in its design and implementation related to the monitoring occurring subsequent to the procurement process which requires monitoring subrecipient activities through review of vendor invoices.

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Identification of a repeat finding—No.

Recommendation—A control should be designed and implemented to ensure that vendor invoices are reviewed for compliance with subcontract terms and conditions subsequent to the procurement approval process.

Views of Responsible Officials and Planned Corrective Action—Battelle concurs with the audit finding and is implementing corrective action. Battelle will implement a review of subcontract invoices by the Compliance organization within the Strategic Acquisition Services (SAS) department to ensure compliance with subcontract terms and conditions. This review will be on all invoices for subcontracts that have a ceiling value of $750,000 or greater. The Compliance staff will complete a checklist for each invoice and the checklist will document how the invoice met compliance with the subcontract terms and conditions. In addition to cover vendor invoices on subcontracts with a ceiling value less than $750,000, Battelle will update vendor invoice review/approval documentation to provide clear expectations to program staff.

PART IV—SUMMARY SCHEDULE OF PRIOR AUDIT FINDINGS

Fiscal Year

Finding # Finding/Action Taken Status Contact

FY 2014 2014-001 Internal controls surrounding reporting under the Federal Funding Accountability and Transparency Act (FFATA)

Corrected Jeff Cashell—Vice President, Strategic Acquisition Services

FY 2015 2015-001 Significant Deficiency—vendor verification

Corrected Bob Dillon, Vice President, Controller and Iris Anderson, Manager Financial Operations

FY 2015 2015-002 Sub-recipient Compliance (FFATA) Corrected Jeff Cashell—Vice President, Strategic Acquisition Services

2014-001

Additional information related to this finding is presented in the response to finding number 2015-002 below. Based on the results of the monthly FFATA metrics reviewed by the Procurement Directors, Battelle has determined the corrective action implemented is effective.

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2015-001

Each trimester, a sample of 75 accrual-related transactions are reviewed for appropriateness based on current policy. The results of these reviews were “green” indicating greater than or equal to 90% accrual compliance. In addition, A-123 control testing is conducted throughout the year and no failures were identified that testing. Based on these internal reviews, Battelle has determined the corrective action implemented to be effective.

2015-002

Reporting to identify delinquent requests to vendors was created and a process allowing for electronic batch file upload was implemented. Data is downloaded from Battelle’s system and uploaded to FSRS.GOV monthly to ensure timely reporting. In addition, a summary of the monthly upload (referred to as the FFATA metric) is prepared and sent to the Procurement Directors for review. The summary provides the total number of uploads, the number and percentage of errors including number of errors because the government has not loaded the prime contract in the FSRS system, number of reports submitted on time, and number of reports submitted late. The summary provides the reason for errors and any subsequent correction. Both the file upload (the batch file of the individual reports) and the summary are stored on the Subcontracts SharePoint site. The Directors review the summary metrics to ensure there are no late file submissions and that the process is working effectively. Based on the results of the monthly FFATA metrics reviewed by the Procurement Directors, Battelle has determined the corrective action implemented is effective.

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505 King Avenue | Columbus, Ohio 43201-2696 | 800.201.2011 | [email protected] | battelle.org

Corrective Action Plan – FY2016 Single Audit under Title 2 U.S. Code of Federal Regulations Part 200 Reference: Finding 2016-001 – Significant Deficiency in Internal Control Over Financial Reporting Contact: Vida Bowen; Director, Benefits; (614) 424-3795; [email protected] Views of Responsible Officials: Battelle concurs with the audit finding and is implementing corrective action to remedy the deficiency. Corrective Action Plan: Summary of finding: Processes in place did not correctly identify issues with the data provided to the external actuary, which was then used to determine OPEB liabilities for FYE 2016. Specifically, the participants provided for this purpose incorrectly included some employees not eligible for the plan (part-time temporary employees), and incorrectly excluded some employees that were eligible to participate (most-significantly, retirees that had elected the Voluntary Retirement Option in 2015, and therefore were subject to a special provision allowing for post-retiree medical coverage election during COBRA coverage). Root cause: The original controls did not provide for Benefits staff review prior to the provision of data to the external actuary, a step that would allow for staff with knowledge of special events (such as the Voluntary Retirement Option from 2015, a one-time special event) to review for impact to employee eligibility for OPEB coverage. Corrective action: The process has been update for future years as follows:

• Plan’s actuary will meet annually with Benefits and Corporate Accounting prior to the creation of the annual data file to plan for the annual retiree valuation cycle, with a portion of the discussion being related to changes year-over-year that may have impacted the employee status (specifically related to plan eligibility). The Benefits department will maintain documentation of the meeting, which will provide confirmation of discussion of items such as special events that could have impact of participant coverage (or lack of such special events).

• A kick-off meeting will be held between a Benefits manager, a representative from corporate accounting, and the person preparing the data that is to be supplied to the actuary, to allow for discussion of the background of what data is being provided and why. This will also allow the Benefits manager to confirm understanding of all those involved.

• The Benefits manager will review and approve the data file prior to sending it to the actuary to confirm that complete and accurate participant information is provided to the actuary.

mailto:[email protected]

Battelle | June 26, 2017 2

This file will include employee classification descriptions to help ensure the appropriate employees were included.

• After the data has been scrubbed by the actuary, the actuary will send the final data to Battelle for review (prior to use by the actuary to calculate plan liabilities). The Benefits manager will review and approve this file to confirm any changes made by the actuary reflect guidance provided by Battelle, and to confirm that any participants that have been added or removed from the population from the prior year were added or removed appropriately.

• Any changes to the data resulting from this “final” review will require an additional final review and approval of the updated data set by the same persons (staff and manager) in Benefits to ensure changes have been incorporated appropriately. Evidence of the final approval will be retained by the Benefits manager or their delegate.

Overall Anticipated Implementation Date: October 31, 2017

Battelle | June 26, 2017 3

Reference: Finding 2016-002 – Sub-Recipient Monitoring Contact: Jeff Cashell; Vice President, Strategic Acquisition Services; (614) 424-4835; [email protected] and Nicki Evans; Director, Contracts Compliance; (614) 424-7991; [email protected] Views of Responsible Officials: Battelle concurs with the audit finding and is implementing corrective action. Corrective Action Plan: Summary of finding: A control has not been implemented that defines expectations of the project manager to specify the requested payment is for allowable costs and is appropriate under the context of the agreement before accepting receipt of the invoice to enable the 3-way match and subsequent payment of the invoice to the vendor. This could lead to inaccurate reporting of federal expenditures and/or non-compliance with contract terms and conditions. Root cause: Lack of documentation and information dissemination describing specific factors to be reviewed by a project manager when approving invoices for payment. Corrective action: Battelle will implement a review of subcontract invoices by the Compliance organization within the Strategic Acquisition Services (SAS) department to ensure compliance with subcontract terms and conditions. This review will be on all invoices for subcontracts that have a ceiling value of $750,000 or greater. The Compliance staff will complete a checklist for each invoice and the checklist will document how the invoice met compliance with the subcontract terms and conditions. In addition to cover vendor invoices on subcontracts with a ceiling value less than $750,000, Battelle will update vendor invoice review/approval documentation to provide clear expectations to program staff. As part of the implementation of the Compliance group invoice review process, the level of effort and timing to expand the process to review additional invoices excluding PCard and Punch-out transactions by the Compliance group will be evaluated as a future phase. Battelle will create reference guides targeted at providing clear expectations to Compliance and program staff on the suitability of proper deliverables and invoices. These guidelines are targeted to be complete by July 31, 2017 and training provided to staff by August 31, 2017. Overall Anticipated Implementation Date: August 31, 2017



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