Integrated Assessment Schedule FY14

	Managed By (Org)	Purpose	Date Scheduled	Type	Primary Driver	Periodicity	Status	Start Date	Completion Date	Level of Effort (Easy, Moderate, Demanding, Burden	Duplicative/Unnecessary? Provide Reason	Notes
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1	BSO (EHS)	Worker Safety & Health Program	by 6/30/14	External	10 CFR 851	As needed	Completed	March 2014	Jun 2014	Burdensome	Necessary
2	BSO (EHS)	Waste Management	by 9/1/14	External	DOE O 435.1	As needed	Completed	8/19/14	8/20/14	Burdensome	Necessary
3	BSO (EHS)	Industrial Hygiene: Beryllium	by 5/30/14	External	10 CFR 851	As needed	Completed	4/17/14	7/22/14	Easy	Necessary
4	BSO (EHS)	Independent Internal Dosimetery	by 9/1/14	External	DOELAP Accreditation	Triennial	Not Needed	N/A	N/A	N/A	N/A	LBNL 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 Safety	by 6/1/14	External	10 CFR 851	As needed	Completed	6/9/14	6/12/14	Burdensome	Necessary
6	BSO (FAC)	Maintenance Review of Transformer Systems	by 8/31/14	External	DOE BSO	As needed	Completed	Aug 2014	Aug 2014	Easy	Necessary
7	BSO (FAC)	Review of the Sustainability Requirements in Infrastructure Specifications	by 8/31/14	External	DOE O 413.1B	As needed	Completed		9/15/2014			Managed by the Sustainability Office. Suggest you ask them.
8	BSO (FAC)	Subcontractor WP&C and Construction Safety for Small Construction Projects	by 9/1/14	External	10 CFR 851	As needed	Complete	9/8/14	9/15/14	Demanding	Necessary
9	BSO (Lab Dir)	Laboratory Directed Research & Development	March 2014	External	DOE O 413.2B	As needed	Completed	March 24, 2014	March 27, 2014	Moderate	Necessary	BSO may enlist HQ support for this assessment
10	BSO (OCFO)	Financial Systems Review	Q3	External	Award Term Extension Proposal	As needed	Completed	March 2014	9/2/14	Burdensome	Necessary	Review 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 Management	by 9/30/14	External	DOE O 151.1C	Triennial	Completed	Sept 2014	Sept 2014	Moderate	Necessary
12	DOE - OPA/EM (PMO)	EVMS Surveillance	August 2014	External	DOE O 413.3B	Biennial	Completed	8/26/14	8/27/14	Burdensome	Necessary
13	DOE EM HQ (FAC)	Old Town D&D IPR	3rd Qtr	External	DOE O 413.3B	As needed	Completed	April 2014	6/12/14	Burdensome	Duplicate effort of a SC review.	Lehman Reviews - lead by DOE EM
14	DOE HQ (FAC)	NERSC-8 IPR (CD2/3)	4th Qtr	External	DOE O 413.3B	Annual	Completed	February 2014	February 2014	Burdensome	Necessary, 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 IPR	4th Qtr	External	DOE O 413.3B	Annual	Completed	April 2014	August 2014	Burdensome	Necessary	Lehman Reviews
16	DOE HQ (FAC)	User Test Bed Facility IPR (CD4)	4th Qtr	External	DOE O 413.3B	Annual	Completed	May 2014	9/30/2014	Burdensome	Necessary	Lehman Reviews
17	DOE HQ Program/ BSO	NERSC	4th Qtr	External	OMB M 10-27 and OMB Circular A-11, Section 33	Annual	Completed	9/3/14	9/3/14		Necessary	Program Review
18	DOE HQ Program/ BSO	ESnet	4th Qtr	External	OMB M 10-27 and OMB Circular A-11, Section 33	Annual	Completed	9/9/14	9/9/14		Necessary	Program Review
19	DOE-HSS (FAC)	Natural Phenomena Hazard Assessment (NPHA) Assist Visit	Nov 2013	External	DOE BSO	As needed	Completed	Feb 2014	Feb 2014	Burdensome	Necessary	No 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 Licenses	January 2014	External		As needed	Completed	January 2014	August 2014	Burdensome	Extremely 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 Centers	September 2014	External		As needed	Ongoing	September 2014		Burdensome	Requires 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 Management	February 2014	External		As needed	Completed	February 2014	October 2014
23	DOE-IG	Consolidated Financial Statements	February 2014	External	GMRA	Annual	Completed	February 2014	November 2014			This 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 Security	February 2014	External	FISMA	Annual	Completed	February 2014	October 2014			This audit's scope varies each year so accordingly, the burden on staff varies as well.
25	DOE-IG	Statement of Costs Incurred and Claimed	December 2013	External		Annual	Completed	December 2013	June 2014	Burdensome
26	DOE-IG	Research Misconduct	October 2013	External		As needed	Completed	October 2013	August 2014			This audit affected mainly RIIO staff
27	DOE/Peers (AFRD/ EHS)	LOASIS & BELLA Accelerator Safety Review	Q1	External	DOE O 420.2C	Triennial	Completed	9/4/13	11/6/13	Burdensome	Necessary
28	EHS	Waste Management Requisition Process	FY14 Q3	Internal	Assurance Program	As needed	Factual accuracy review	9/2014	November 14
29	EHS	Off-Site Safety	FY14 Q4	Internal	Assurance Program	As needed	Completed	7/2014	August 14
30	EHS	Compressed Gas Safety	FY14 Q2	Internal	Assurance Program	As needed	Completed	3/3/2014	March 14
31	EHS	Electrical AHJ Program Assessment	FY14 Q1	Internal	PEMP	As needed	Completed	12/16/2013	1/21/14			Report signed and issued on 1/21/14.
32	FAC	EFCOG Peer Review - Work Planning & Control	Feb 2014	External	FAC Management	As needed	Moved to FY15					Moved to FY15
33	FAC	Peer Review of Safety Program (Subject TBD)	Jul 2014	Internal	FAC Management	As needed	Complete		08/14
34	FAC	Division Self-Assessment(s) (Subject TBD)	Oct 2014	Internal	C31 Clause H.30, DOE O 414.1D	Annual	Complete		09/14			Commissioning 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 Program	May 2014	Internal	Lab Management	As needed	Completed		5/29/14
36	HR	Rehired Retiree Exception to Policy Reporting	Jan and July	External	UCOP	Semiannual	Completed	1/14 and 7/14	1/14 and 7/14	Moderate	UCOP already has this data and can do the reporting themselves
37	HR	HR Advisory Board	2nd Qtr	External	Lab Management	Annual	Completed	12/13	2/28/14	Moderate	It depends on the number materials that need to be prepared.
38	IAS	Subcontract Audit		Internal	FY14 LBNL Audit Plan	As needed	N/A		N/A			Procurement took over this activity.
39	IAS	Compensated Outside Professional Activities	3/31/14	Internal	FY14 LBNL Audit Plan	Annual	Deferred to FY15					Advisory
40	IAS	PO & Subcontract Awards and Compliance Monitoring	3/31/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		2/28/14
41	IAS	IUTs Awards	3/31/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		9/18/14
42	IAS	Conference Activities	3/31/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		5/30/14
43	IAS	Recharges	7/31/14	Internal	FY14 LBNL Audit Plan	As needed	Dropped
44	IAS	FY13 Cost Allowability	9/30/14	Internal	FY14 LBNL Audit Plan	Annual	Completed		6/27/14
45	IAS	Payroll Processing	9/30/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		9/29/14
46	IAS	Indirect Expense Budgeting and Monitoring	9/30/14	Internal	FY14 LBNL Audit Plan	As needed	Dropped
47	IAS	F$M Pre-Implementation Review	9/30/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		9/2/14			Advisory
48	IAS	Emergency Management	by 9/30/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		9/29/14			Supplemental audit, joint effort with BSO
49	IAS	Gifts Acceptance under Contract 31	by 7/31/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		7/22/14			Advisory
50	IAS	OMB A-123 IT General Controls	by 6/30/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		6/3/14			Advisory
51	IAS (FAC)	Maintenance	7/31/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		9/25/14
52	IAS (HR)	Administration of Employee Performance Evaluation	by 12/31/13	Internal	FY14 LBNL Audit Plan	As needed	Completed		3/7/14			Advisory
53	IAS (HR)	Postdoc Classification and Compensation	by 12/31/13	Internal	FY14 LBNL Audit Plan	As needed	Completed		1/22/14			Advisory
54	IAS (HR)	HR Services (Recruitment and Hiring)	by 7/31/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		7/2/14
55	IAS (HR)	Annual Report of Executive Compensation	by 7/31/14	Internal	FY14 LBNL Audit Plan	As needed	Completed		4/30/14			Advisory
56	IT	SC Surveys	5/31/14	External	BSO Oversight	As needed		Oct 2013	Sept 2014	Burdensome	Unnecessary 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 Assessments	1 month of FY end	Internal	LBNL - CIO	Annually	Completed		9/2014
58	IT	Risk Assessment Self Assessment	10/1/2014	Internal	LBNL - CIO	Annually	Completed		1/1/2015
59	IT	Management Controls & Compliance Program	7/1/2014	Internal	LBNL - CFO	As needed	Completed		8/2014
60	OCA	Division ES&H Self-Assessments (various by division)	Ongoing	Internal	Lab Mgmt - C31 Clause I.86, Clause H.30, DOE O 414.1D	Annual
61	OCFO-Financial Management	Resource Adjustment Reviews	Ongoing	Internal	Lab Management; C31 Clause H.30	Ongoing	Completed		multiple dates throughout the year
62	OCFO-Financial Management	Financial Management Assurance	By 8/1/14	Internal	OMB A-123, Appendix A	Annual	Completed		7/11/14
63	OCFO-Financial Management	IPERA Review	By 7/31/14	Internal	FMFIA	Annual	Completed		7/15/14
64	P&P	Accounting and Control - Equipment /Accountable Property Inventory	2/1/14	Internal	DOE Order 580.1	Annual	Completed		7/28/14
65	P&P	Accounting and Control - High Risk Property Inventory	2/1/14	Internal	DOE Order 580.1	Annual	Completed		7/28/14
66	P&P	Accounting and Control - Attractive Property Inventory	2/1/14	Internal	DOE Order 580.1	Annual	Completed		7/28/14
67	P&P	Accounting and Control - Capital Accountable Property Inventory	2/1/14	Internal	DOE Order 580.1	Annual	Completed		7/28/14
68	P&P	Optional Reviews	As needed	Internal	Purchasing System Evaluation Plan	As needed
69	P&P	Business Assurance Random Sample Review - Low Value Subcontracts	November 2013	Internal	Purchasing System Evaluation Plan	Annual
70	P&P	Preaward Reviews (Managers & CRB)	Ongoing	Internal	Purchasing System Evaluation Plan	Ongoing	Completed		multiple
71	P&P	Manager File Reviews	Ongoing	Internal	Purchasing System Evaluation Plan	Ongoing	Completed		multiple
72	P&P	Procurement Card Transaction Reviews	Ongoing	Internal	Purchasing System Evaluation Plan	Ongoing	Completed		multiple
73	P&P	Validation of Acquisition Savings	Quarterly	Internal	Purchasing System Evaluation Plan	Quarterly	Completed
74	PS	Safeguards & Security Survey	3/3/14	External	DOE O 470.4B	3 years	Completed	2/10/14	3/3/14	Burdensome	(Necessary)
75	PS	Fire Hazards Analysis (FHA) for B67	12/21/13	Internal	C31; 420.1C	Annual						delayed until April 2015
76	PS	Fire Hazards Analysis (FHA) for B6	12/21/13	Internal	C31: 420.1C	Annual	Completed		12/21/13
77	PS	Continuity of Operations Implementation Plan Self-Assessment	3/31/14	Internal	C31; 150.1	Annual	Completed		2/7/14
78	PS	Baseline Needs Assessment (BNA)	7/30/14	Internal	C31; 420.1C	Triennial, as needed; rolling schedule	Completed		7/30/14
79	PS	Continuity Annual Exercise	9/30/14	Internal	C31; 150.1	Annual	Completed		8/5/14
80	PS	Emergency Services Annual Exercise	9/30/14	Internal	C31; 151.1C	Annual	Completed		8/5/14
81	PS	Emergency Services Self-Assessment (first responder)	9/30/14	Internal	C31; 151.1C	Annual	Completed		6/11/14
82	PS	Security Risk Assessment	9/30/14	Internal	DOE O 470.4B	Triennial	Completed		9/30/14			TriParty POCs: Anita Gursahani (UCOP), Kevin Harnett (BSO), Brian Strock (LBNL)
83	PS	Emergency Management Program Assessment	9/30/14	Internal	DOE 151.1C	Triennial	Completed	8/1/14	9/29/14	Moderate	(Necessary)	DOE/BSO, LBNL/Internal Audit
84	SAC/OCA	ES&H Peer Review of TBD	TBD	Internal	Lab Mgmt - C31 Clause I.86, Clause H.30, DOE O 414.1D	5 years						Placeholder - 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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