Integrated Assessment Schedule FY14
Managed By (Org)PurposeDate ScheduledTypePrimary DriverPeriodicityStatusCompletion DateNotes
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1
DOE HQ Program/ BSO
NERSC4th QtrExternalOMB M 10-27 and OMB Circular A-11, Section 33AnnualProgram Review
2
DOE HQ Program/ BSO
ESnet4th QtrExternalOMB M 10-27 and OMB Circular A-11, Section 33AnnualProgram Review
3
DOE HQ (FAC)
NRP IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
4
DOE HQ (FAC)
NERSC-7 IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
5
DOE HQ (FAC)
Seismic Phase 2 IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
6
DOE HQ (FAC)
CUORE IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
7
DOE HQ (FAC)
User Test Bed Facility IPR (CD4)4th QtrExternalDOE O 413.3BAnnualLehman Reviews
8
BSO (Lab Dir)
Laboratory Directed Research & DevelopmentMarch 2014ExternalDOE O 413.2BAs neededBSO may enlist HQ support for this assessment
9
BSO (EHS)
Industrial Hygiene: Berylliumby 5/30/14External10 CFR 851As needed
10
BSO (EHS)
Independent Internal Dosimeteryby 9/1/14ExternalDOELAP AccreditationTriennial
11
BSO (EHS)
Industrial Hygiene: Laser Safetyby 6/1/14External10 CFR 851As needed
12
BSO (EHS)
Waste Managementby 9/1/14ExternalDOE O 435.1As needed
13
BSO (EHS)
Worker Safety & Health Programby 6/30/14External10 CFR 851As needed
14
DOE-HSS (FAC)
Natural Phenomena Hazard Assessment (NPHA) Assist VisitNov 2013ExternalDOE BSOAs neededNo 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.
15
BSO (FAC)
Maintenance Review of Transformer Systemsby 8/31/14ExternalDOE BSOAs needed
16
BSO (FAC)
Review of the Sustainability Requirements in Infrastructure Specificationsby 8/31/14ExternalDOE O 413.1BAs needed
17
BSO (FAC)
Subcontractor WP&C and Construction Safety for Small Construction Projectsby 9/1/14External10 CFR 851As needed
18
BSO (IT)
Records Inventory Disposition Schedule (RIDS)by 9/30/14ExternalDOE O 243.1BAs needed
19
BSO (OIA/OCA)
CAS Review of LBNLby 8/30/14ExternalDOE O 414.1DAs needed
20
BSO (OCFO)
Financial System, various sub elementsby 8/31/14ExternalDOE O 226.1BAs needed
21
BSO (PS)
Emergency Managementby 9/30/14ExternalDOE O 151.1CTriennial
22
EHS
Electrical AHJ Program AssessmentFY14 Q1InternalPEMPAs neededCompleted1/21/14Report signed and issued on 1/21/14.
23
EHS
Compressed Gas SafetyFY14 Q2InternalAssurance ProgramAs needed
24
EHS
Waste Management Requisition ProcessFY14 Q3InternalAssurance ProgramAs needed
25
EHS
Off-Site SafetyFY14 Q4InternalAssurance ProgramAs needed
26
FAC
EFCOG Peer Review - Work Planning & ControlFeb 2014ExternalFAC ManagementAs needed
27
FAC
Peer Review of Safety Program (Subject TBD)Jul 2014ExternalFAC ManagementAs needed
28
FAC
Division Self-Assessment(s) (Subject TBD)Oct 2014InternalC31 Clause H.30, DOE O 414.1DAnnual
29
HR
HR Advisory Board2nd QtrInternalLab ManagementAnnual
30
HR
Rehired Retiree Exception to Policy ReportingJan and JulyExternalUCOPSemiannual
31
IAS
Subcontract AuditInternalFY14 LBNL Audit PlanAs neededAs needed, per request from Procurement
32
IAS
Compensated Outside Professional Activities3/31/14InternalFY14 LBNL Audit PlanAnnualAdvisory
33
IAS
PO & Subcontract Awards and Compliance Monitoring3/31/14InternalFY14 LBNL Audit PlanAs needed
34
IAS
IUTs Awards3/31/14InternalFY14 LBNL Audit PlanAs needed
35
IAS
Conference Activities3/31/14InternalFY14 LBNL Audit PlanAs needed
36
IAS
Recharges7/31/14InternalFY14 LBNL Audit PlanAs needed
37
IAS (FAC)
Maintenance7/31/14InternalFY14 LBNL Audit PlanAs needed
38
IAS
FY13 Cost Allowability9/30/14InternalFY14 LBNL Audit PlanAnnual
39
IAS
Payroll Processing9/30/14InternalFY14 LBNL Audit PlanAs needed
40
IAS
Indirect Expense Budgeting and Monitoring9/30/14InternalFY14 LBNL Audit PlanAs needed
41
IAS
F$M Pre-Implementation Review9/30/14InternalFY14 LBNL Audit PlanAs neededAdvisory
42
IAS (HR)
Administration of Employee Performance Evaluationby 12/31/13InternalFY14 LBNL Audit PlanAs neededAdvisory
43
IAS (HR)
Postdoc Classification and Compensationby 12/31/13InternalFY14 LBNL Audit PlanAs neededAdvisory
44
IAS (HR)
HR Servicesby 7/31/14InternalFY14 LBNL Audit PlanAs needed
45
IAS (HR)
Annual Report of Executive Compensationby 7/31/14InternalFY14 LBNL Audit PlanAs neededAdvisory
46
IT
Project Assessments1 month of FY endInternalLBNL - CIOAnnually
47
IT
Risk Assessment Self Assessment10/1/2014InternalLBNL - CIOAnnually
48
IT
SC Surveys5/31/14ExternalBSO OversightAs needed
49
IT
Management Controls & Compliance Program7/1/2014InternalLBNL - CFOAs needed
50
OCA
Division ES&H Self-Assessments (various by division)OngoingInternalLab Mgmt - C31 Clause I.86, Clause H.30, DOE O 414.1DAnnual
51
P&P
Accounting and Control - Equipment /Accountable Property Inventory2/1/14InternalDOE Order 580.1Annual
52
P&P
Accounting and Control - High Risk Property Inventory2/1/14InternalDOE Order 580.1Annual
53
P&P
Accounting and Control - Attractive Property Inventory2/1/14InternalDOE Order 580.1Annual
54
P&P
Accounting and Control - Capital Accountable Property Inventory2/1/14InternalDOE Order 580.1Annual
55
P&P
Optional ReviewsAs neededInternalPurchasing System Evaluation PlanAs needed
56
P&P
Business Assurance Random Sample Review - High Value SubcontractsMay 2014InternalPurchasing System Evaluation PlanAnnual
57
P&P
Business Assurance Random Sample Review - Low Value SubcontractsNovember 2013InternalPurchasing System Evaluation PlanAnnual
58
P&P
Preaward Reviews (Managers & CRB)OngoingInternalPurchasing System Evaluation PlanOngoing
59
P&P
Manager File ReviewsOngoingInternalPurchasing System Evaluation PlanOngoing
60
P&P
Procurement Card Transaction ReviewsOngoingInternalPurchasing System Evaluation PlanOngoing
61
P&P
Validation of Acquisition SavingsQuarterlyInternalPurchasing System Evaluation PlanQuarterly
62
PS
Fire Hazards Analysis (FHA) for B67, 84, 8512/21/13InternalC31; 420.1CAnnual
63
PS
Fire Hazards Analysis (FHA) for B612/21/13InternalC31: 420.1CAnnual
64
PS
Continuity of Operations Implementation Plan Self-Assessment3/31/14InternalC31; 150.1Annual
65
PS
Baseline Needs Assessment (BNA)7/30/14InternalC31; 420.1CTriennial, as needed; rolling schedule
66
PS
Continuity Annual Exercise9/30/14InternalC31; 150.1Annual
67
PS
Emergency Services Annual Exercise9/30/14InternalC31; 151.1CAnnual
68
PS
Emergency Services Self-Assessment (first responder)9/30/14InternalC31; 151.1CAnnual
69
PS
Safeguards & Security Survey3/3/14ExternalDOE O 470.4B3 years
70
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.
71
AFRD/ EHS
LOASIS & BELLA Accelerator Safety ReviewQ1ExternalDOE O 420.2CTriennialCompleted11/6/13
72
BSO
Finacial Systems ReviewQ3ExternalAward Term Extension ProposalAs neededReview 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.