Integrated Assessment Schedule FY14
Managed By (Org)PurposeDate ScheduledTypePrimary DriverPeriodicityStatusStart DateCompletion DateLevel of Effort (Easy, Moderate, Demanding, BurdenDuplicative/Unnecessary? Provide ReasonNotes
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1
BSO (EHS)
Worker Safety & Health Programby 6/30/14External10 CFR 851As neededCompletedMarch 2014Jun 2014BurdensomeNecessary
2
BSO (EHS)
Waste Managementby 9/1/14ExternalDOE O 435.1As neededCompleted8/19/148/20/14BurdensomeNecessary
3
BSO (EHS)
Industrial Hygiene: Berylliumby 5/30/14External10 CFR 851As neededCompleted4/17/147/22/14EasyNecessary
4
BSO (EHS)
Independent Internal Dosimeteryby 9/1/14ExternalDOELAP AccreditationTriennialNot NeededN/AN/AN/AN/ALBNL received an exception for DOELAP Accredidation for internal bioassay. Therefore, this review is not necessary for the next 5 years.
5
BSO (EHS)
Industrial Hygiene: Laser Safetyby 6/1/14External10 CFR 851As neededCompleted6/9/146/12/14BurdensomeNecessary
6
BSO (FAC)
Maintenance Review of Transformer Systemsby 8/31/14ExternalDOE BSOAs neededCompletedAug 2014Aug 2014EasyNecessary
7
BSO (FAC)
Review of the Sustainability Requirements in Infrastructure Specificationsby 8/31/14ExternalDOE O 413.1BAs neededCompleted9/15/2014Managed by the Sustainability Office. Suggest you ask them.
8
BSO (FAC)
Subcontractor WP&C and Construction Safety for Small Construction Projectsby 9/1/14External10 CFR 851As neededComplete9/8/149/15/14DemandingNecessary
9
BSO (Lab Dir)
Laboratory Directed Research & DevelopmentMarch 2014ExternalDOE O 413.2BAs neededCompletedMarch 24, 2014March 27, 2014ModerateNecessaryBSO may enlist HQ support for this assessment
10
BSO (OCFO)
Financial Systems ReviewQ3ExternalAward Term Extension ProposalAs neededCompletedMarch 20149/2/14BurdensomeNecessaryReview will have a 2 step approach: 1) synthesis of past financial audits, conclusions, reviews, attestations which would be in support of documentation needed for the "Award-Term" extension package which will be submitted for HQa review/approval at the end of July, 2014, and 2) Financial Management System (F$M) review which would not be scheduled until the beginning of the third quarter of FY15.
This review was jointly performed with IAS Pre-implementation review of F$M.
11
BSO (PS)
Emergency Managementby 9/30/14ExternalDOE O 151.1CTriennialCompletedSept 2014Sept 2014ModerateNecessary
12
DOE - OPA/EM (PMO)
EVMS SurveillanceAugust 2014ExternalDOE O 413.3BBiennialCompleted8/26/148/27/14BurdensomeNecessary
13
DOE EM HQ (FAC)
Old Town D&D IPR3rd QtrExternalDOE O 413.3BAs neededCompletedApril 20146/12/14BurdensomeDuplicate effort of a SC review.Lehman Reviews - lead by DOE EM
14
DOE HQ (FAC)
NERSC-8 IPR (CD2/3)4th QtrExternalDOE O 413.3BAnnualCompletedFebruary 2014February 2014BurdensomeNecessary, but some efficiencies could be realized.

There is a lot of overlapping and redundant documentation required for these reviews that don't help improve the project. The PEP (Project Execution Plan) is actually a pretty useful document. As someone who has managed a project and been a reviewer of projects the PEP is where I go to first. Beyond the PEP, the documents become less useful. For example, the Acquisition Strategy document is just a cut and paste of a subset of the PEP. (This is what just about every project manager I've spoken to does in practice.) The problem is that all the documents are supposed to be updated but having multiple documents that are just copies of each other ends up propagating errors. Instead of making the project more clear, the documentation leads to confusion. Another concrete example is that risks have to be discussed in 4 separate project documents, the PEP, the Acquisition Strategy, the Risk Management Plan and the Risk Registry. If the documentation could be streamlined, I think this would reduce the burden of external reviews and result in no negative impacts.
Lehman Reviews
15
DOE HQ (FAC)
Seismic Phase 2 IPR4th QtrExternalDOE O 413.3BAnnualCompletedApril 2014August 2014BurdensomeNecessaryLehman Reviews
16
DOE HQ (FAC)
User Test Bed Facility IPR (CD4)4th QtrExternalDOE O 413.3BAnnualCompletedMay 20149/30/2014BurdensomeNecessaryLehman Reviews
17
DOE HQ Program/ BSO
NERSC4th QtrExternalOMB M 10-27 and OMB Circular A-11, Section 33AnnualCompleted9/3/149/3/14NecessaryProgram Review
18
DOE HQ Program/ BSO
ESnet4th QtrExternalOMB M 10-27 and OMB Circular A-11, Section 33AnnualCompleted9/9/149/9/14NecessaryProgram Review
19
DOE-HSS (FAC)
Natural Phenomena Hazard Assessment (NPHA) Assist VisitNov 2013ExternalDOE BSOAs neededCompletedFeb 2014Feb 2014BurdensomeNecessaryNo word from DOE-HSS or BSO as of 11/19/13.
As of 2/13/14, per BSO, HSS will be on site w/e 2/21/14. This visit will be an data inquiry only, not an assessment.
20
DOE-IG
Acquisition and Use of Software LicensesJanuary 2014ExternalAs neededCompletedJanuary 2014August 2014BurdensomeExtremely burdensome on IT and Procurement staff. Communication with IG was difficult and unproductive resulting in fundamental misunderstandings, and misplaced concerns.This audit started originally in 2012, was put on pause, and then re-started.
21
DOE-IG
Bioenergy Research CentersSeptember 2014ExternalAs neededOngoingSeptember 2014BurdensomeRequires a lot of data to be provided by division staff (JBEI) as well as OCFO staff. Focus area of the audit shifted to travel and conference expenses.
22
DOE-IG
Cloud ManagementFebruary 2014ExternalAs neededCompletedFebruary 2014October 2014
23
DOE-IG
Consolidated Financial StatementsFebruary 2014ExternalGMRAAnnualCompletedFebruary 2014November 2014This audit's scope varies each year so accordingly, the burden on staff varies as well. This particular year was not burdensome given that the focus was on follow-up of previous findings, which were properly addressed.
24
DOE-IG
Unclassified Cyber SecurityFebruary 2014ExternalFISMAAnnualCompletedFebruary 2014October 2014This audit's scope varies each year so accordingly, the burden on staff varies as well.
25
DOE-IG
Statement of Costs Incurred and ClaimedDecember 2013ExternalAnnualCompletedDecember 2013June 2014Burdensome
26
DOE-IG
Research MisconductOctober 2013ExternalAs neededCompletedOctober 2013August 2014This audit affected mainly RIIO staff
27
DOE/Peers (AFRD/ EHS)
LOASIS & BELLA Accelerator Safety ReviewQ1ExternalDOE O 420.2CTriennialCompleted9/4/1311/6/13BurdensomeNecessary
28
EHS
Waste Management Requisition ProcessFY14 Q3InternalAssurance ProgramAs neededFactual accuracy review9/2014November 14
29
EHS
Off-Site SafetyFY14 Q4InternalAssurance ProgramAs neededCompleted7/2014August 14
30
EHS
Compressed Gas SafetyFY14 Q2InternalAssurance ProgramAs neededCompleted3/3/2014March 14
31
EHS
Electrical AHJ Program AssessmentFY14 Q1InternalPEMPAs neededCompleted12/16/20131/21/14Report signed and issued on 1/21/14.
32
FAC
EFCOG Peer Review - Work Planning & ControlFeb 2014ExternalFAC ManagementAs neededMoved to FY15Moved to FY15
33
FAC
Peer Review of Safety Program (Subject TBD)Jul 2014InternalFAC ManagementAs neededComplete08/14
34
FAC
Division Self-Assessment(s) (Subject TBD)Oct 2014InternalC31 Clause H.30, DOE O 414.1DAnnualComplete09/14Commissioning Assessment put on hold due to the GPL subcontractor electrical shock and AHJ resolution activities.

High Voltage Electrical Maintenance Program assessment was completed.
35
FAC
High Voltage Electrical Maintenance ProgramMay 2014InternalLab ManagementAs neededCompleted5/29/14
36
HR
Rehired Retiree Exception to Policy ReportingJan and JulyExternalUCOPSemiannualCompleted1/14 and 7/141/14 and 7/14ModerateUCOP already has this data and can do the reporting themselves
37
HR
HR Advisory Board2nd QtrExternalLab ManagementAnnualCompleted12/132/28/14ModerateIt depends on the number materials that need to be prepared.
38
IAS
Subcontract AuditInternalFY14 LBNL Audit PlanAs neededN/AN/AProcurement took over this activity.
39
IAS
Compensated Outside Professional Activities3/31/14InternalFY14 LBNL Audit PlanAnnualDeferred to FY15Advisory
40
IAS
PO & Subcontract Awards and Compliance Monitoring3/31/14InternalFY14 LBNL Audit PlanAs neededCompleted2/28/14
41
IAS
IUTs Awards3/31/14InternalFY14 LBNL Audit PlanAs neededCompleted9/18/14
42
IAS
Conference Activities3/31/14InternalFY14 LBNL Audit PlanAs neededCompleted5/30/14
43
IAS
Recharges7/31/14InternalFY14 LBNL Audit PlanAs neededDropped
44
IAS
FY13 Cost Allowability9/30/14InternalFY14 LBNL Audit PlanAnnualCompleted6/27/14
45
IAS
Payroll Processing9/30/14InternalFY14 LBNL Audit PlanAs neededCompleted9/29/14
46
IAS
Indirect Expense Budgeting and Monitoring9/30/14InternalFY14 LBNL Audit PlanAs neededDropped
47
IAS
F$M Pre-Implementation Review9/30/14InternalFY14 LBNL Audit PlanAs neededCompleted9/2/14Advisory
48
IAS
Emergency Managementby 9/30/14InternalFY14 LBNL Audit PlanAs neededCompleted9/29/14Supplemental audit, joint effort with BSO
49
IAS
Gifts Acceptance under Contract 31by 7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted7/22/14Advisory
50
IAS
OMB A-123 IT General Controlsby 6/30/14InternalFY14 LBNL Audit PlanAs neededCompleted6/3/14Advisory
51
IAS (FAC)
Maintenance7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted9/25/14
52
IAS (HR)
Administration of Employee Performance Evaluationby 12/31/13InternalFY14 LBNL Audit PlanAs neededCompleted3/7/14Advisory
53
IAS (HR)
Postdoc Classification and Compensationby 12/31/13InternalFY14 LBNL Audit PlanAs neededCompleted1/22/14Advisory
54
IAS (HR)
HR Services (Recruitment and Hiring)by 7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted7/2/14
55
IAS (HR)
Annual Report of Executive Compensationby 7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted4/30/14Advisory
56
IT
SC Surveys5/31/14ExternalBSO OversightAs neededOct 2013Sept 2014BurdensomeUnnecessary at times and almost certainly damaging.

Requesting detailed information about a security vulnerability while we are addressing the vulnerability redirects resources from addressing the vulnerability to reporting. This directly impacts Berkeley Lab's ability to effectively address the vulnerability, placing the Lab at risk.
These are extremely unpredictable since they are often related to security vulnerabilities and appear with almost no notice. Also, since we are often reporting on a dynamic situation, the format and amount of information that is requested can change while in the process of collecting the data.

While we understand the need to keep the lines of communication open, we recommend greater care be taken in the amount and type of information being requested.
57
IT
Project Assessments1 month of FY endInternalLBNL - CIOAnnuallyCompleted9/2014
58
IT
Risk Assessment Self Assessment10/1/2014InternalLBNL - CIOAnnuallyCompleted1/1/2015
59
IT
Management Controls & Compliance Program7/1/2014InternalLBNL - CFOAs neededCompleted8/2014
60
OCA
Division ES&H Self-Assessments (various by division)OngoingInternalLab Mgmt - C31 Clause I.86, Clause H.30, DOE O 414.1DAnnual
61
OCFO-Financial Management
Resource Adjustment ReviewsOngoingInternalLab Management; C31 Clause H.30OngoingCompletedmultiple dates throughout the year
62
OCFO-Financial Management
Financial Management AssuranceBy 8/1/14InternalOMB A-123, Appendix AAnnualCompleted7/11/14
63
OCFO-Financial Management
IPERA ReviewBy 7/31/14InternalFMFIAAnnualCompleted7/15/14
64
P&P
Accounting and Control - Equipment /Accountable Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
65
P&P
Accounting and Control - High Risk Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
66
P&P
Accounting and Control - Attractive Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
67
P&P
Accounting and Control - Capital Accountable Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
68
P&P
Optional ReviewsAs neededInternalPurchasing System Evaluation PlanAs needed
69
P&P
Business Assurance Random Sample Review - Low Value SubcontractsNovember 2013InternalPurchasing System Evaluation PlanAnnual
70
P&P
Preaward Reviews (Managers & CRB)OngoingInternalPurchasing System Evaluation PlanOngoingCompletedmultiple
71
P&P
Manager File ReviewsOngoingInternalPurchasing System Evaluation PlanOngoingCompletedmultiple
72
P&P
Procurement Card Transaction ReviewsOngoingInternalPurchasing System Evaluation PlanOngoingCompletedmultiple
73
P&P
Validation of Acquisition SavingsQuarterlyInternalPurchasing System Evaluation PlanQuarterlyCompleted
74
PS
Safeguards & Security Survey3/3/14ExternalDOE O 470.4B3 yearsCompleted2/10/143/3/14Burdensome(Necessary)
75
PS
Fire Hazards Analysis (FHA) for B6712/21/13InternalC31; 420.1CAnnualdelayed until April 2015
76
PS
Fire Hazards Analysis (FHA) for B612/21/13InternalC31: 420.1CAnnualCompleted12/21/13
77
PS
Continuity of Operations Implementation Plan Self-Assessment3/31/14InternalC31; 150.1AnnualCompleted2/7/14
78
PS
Baseline Needs Assessment (BNA)7/30/14InternalC31; 420.1CTriennial, as needed; rolling scheduleCompleted7/30/14
79
PS
Continuity Annual Exercise9/30/14InternalC31; 150.1AnnualCompleted8/5/14
80
PS
Emergency Services Annual Exercise9/30/14InternalC31; 151.1CAnnualCompleted8/5/14
81
PS
Emergency Services Self-Assessment (first responder)9/30/14InternalC31; 151.1CAnnualCompleted6/11/14
82
PS
Security Risk Assessment9/30/14InternalDOE O 470.4BTriennialCompleted9/30/14TriParty POCs: Anita Gursahani (UCOP), Kevin Harnett (BSO), Brian Strock (LBNL)
83
PS
Emergency Management Program Assessment9/30/14InternalDOE 151.1CTriennialCompleted8/1/149/29/14Moderate(Necessary)DOE/BSO, LBNL/Internal Audit
84
SAC/OCA
ES&H Peer Review of TBDTBDInternalLab Mgmt - C31 Clause I.86, Clause H.30, DOE O 414.1D5 yearsPlaceholder - Assessment of ES&H Peer Review Program to be conducted at Division Directors Meeting to determine improvements or changes to the Program.
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