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 EM HQ (FAC)
Old Town D&D IPR3rd QtrExternalDOE O 413.3BAs neededLehman Reviews - lead by DOE EM
4
DOE HQ (FAC)
NRP IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
5
DOE HQ (FAC)
NERSC-7 IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
6
DOE HQ (FAC)
Seismic Phase 2 IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
7
DOE HQ (FAC)
CUORE IPR4th QtrExternalDOE O 413.3BAnnualLehman Reviews
8
DOE HQ (FAC)
User Test Bed Facility IPR (CD4)4th QtrExternalDOE O 413.3BAnnualLehman Reviews
9
BSO (Lab Dir)
Laboratory Directed Research & DevelopmentMarch 2014ExternalDOE O 413.2BAs neededBSO may enlist HQ support for this assessment
10
BSO (EHS)
Industrial Hygiene: Berylliumby 5/30/14External10 CFR 851As needed
11
BSO (EHS)
Independent Internal Dosimeteryby 9/1/14ExternalDOELAP AccreditationTriennial
12
BSO (EHS)
Industrial Hygiene: Laser Safetyby 6/1/14External10 CFR 851As needed
13
BSO (EHS)
Waste Managementby 9/1/14ExternalDOE O 435.1As needed
14
BSO (EHS)
Worker Safety & Health Programby 6/30/14External10 CFR 851As needed
15
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.
16
BSO (FAC)
Maintenance Review of Transformer Systemsby 8/31/14ExternalDOE BSOAs needed
17
BSO (FAC)
Review of the Sustainability Requirements in Infrastructure Specificationsby 8/31/14ExternalDOE O 413.1BAs needed
18
BSO (FAC)
Subcontractor WP&C and Construction Safety for Small Construction Projectsby 9/1/14External10 CFR 851As needed
19
BSO (OCFO)
Financial System, various sub elementsby 8/31/14ExternalDOE O 226.1BAs needed
20
BSO (PS)
Emergency Managementby 9/30/14ExternalDOE O 151.1CTriennial
21
EHS
Electrical AHJ Program AssessmentFY14 Q1InternalPEMPAs neededCompleted1/21/14Report signed and issued on 1/21/14.
22
EHS
Compressed Gas SafetyFY14 Q2InternalAssurance ProgramAs neededCompleted
23
EHS
Waste Management Requisition ProcessFY14 Q3InternalAssurance ProgramAs needed
24
EHS
Off-Site SafetyFY14 Q4InternalAssurance ProgramAs neededIn Progress
25
FAC
EFCOG Peer Review - Work Planning & ControlFeb 2014ExternalFAC ManagementAs neededMoved to FY15Moved to FY15
26
FAC
Peer Review of Safety Program (Subject TBD)Jul 2014ExternalFAC ManagementAs needed
27
FAC
Division Self-Assessment(s) (Subject TBD)Oct 2014InternalC31 Clause H.30, DOE O 414.1DAnnualCommissioning Assessment put on hold due to the GPL subcontractor electrical shock and AHJ resolution activities.
28
HR
HR Advisory Board2nd QtrInternalLab ManagementAnnual
29
HR
Rehired Retiree Exception to Policy ReportingJan and JulyExternalUCOPSemiannual
30
IAS
Subcontract AuditInternalFY14 LBNL Audit PlanAs neededAs needed, per request from Procurement
31
IAS
Compensated Outside Professional Activities3/31/14InternalFY14 LBNL Audit PlanAnnualAdvisory
32
IAS
PO & Subcontract Awards and Compliance Monitoring3/31/14InternalFY14 LBNL Audit PlanAs neededCompleted2/28/14
33
IAS
IUTs Awards3/31/14InternalFY14 LBNL Audit PlanAs needed
34
IAS
Conference Activities3/31/14InternalFY14 LBNL Audit PlanAs needed
35
IAS
Recharges7/31/14InternalFY14 LBNL Audit PlanAs neededDropped
36
IAS (FAC)
Maintenance7/31/14InternalFY14 LBNL Audit PlanAs needed
37
IAS
FY13 Cost Allowability9/30/14InternalFY14 LBNL Audit PlanAnnual
38
IAS
Payroll Processing9/30/14InternalFY14 LBNL Audit PlanAs needed
39
IAS
Indirect Expense Budgeting and Monitoring9/30/14InternalFY14 LBNL Audit PlanAs neededDropped
40
IAS
F$M Pre-Implementation Review9/30/14InternalFY14 LBNL Audit PlanAs neededAdvisory
41
IAS (HR)
Administration of Employee Performance Evaluationby 12/31/13InternalFY14 LBNL Audit PlanAs neededCompleted3/7/14Advisory
42
IAS (HR)
Postdoc Classification and Compensationby 12/31/13InternalFY14 LBNL Audit PlanAs neededCompleted1/22/14Advisory
43
IAS (HR)
HR Servicesby 7/31/14InternalFY14 LBNL Audit PlanAs needed
44
IAS (HR)
Annual Report of Executive Compensationby 7/31/14InternalFY14 LBNL Audit PlanAs neededAdvisory
45
IT
Project Assessments1 month of FY endInternalLBNL - CIOAnnually
46
IT
Risk Assessment Self Assessment10/1/2014InternalLBNL - CIOAnnually
47
IT
SC Surveys5/31/14ExternalBSO OversightAs needed
48
IT
Management Controls & Compliance Program7/1/2014InternalLBNL - CFOAs needed
49
OCA
Division ES&H Self-Assessments (various by division)OngoingInternalLab Mgmt - C31 Clause I.86, Clause H.30, DOE O 414.1DAnnual
50
P&P
Accounting and Control - Equipment /Accountable Property Inventory2/1/14InternalDOE Order 580.1Annual
51
P&P
Accounting and Control - High Risk Property Inventory2/1/14InternalDOE Order 580.1Annual
52
P&P
Accounting and Control - Attractive Property Inventory2/1/14InternalDOE Order 580.1Annual
53
P&P
Accounting and Control - Capital Accountable Property Inventory2/1/14InternalDOE Order 580.1Annual
54
P&P
Optional ReviewsAs neededInternalPurchasing System Evaluation PlanAs needed
55
P&P
Business Assurance Random Sample Review - High Value SubcontractsMay 2014InternalPurchasing System Evaluation PlanAnnual
56
P&P
Business Assurance Random Sample Review - Low Value SubcontractsNovember 2013InternalPurchasing System Evaluation PlanAnnual
57
P&P
Preaward Reviews (Managers & CRB)OngoingInternalPurchasing System Evaluation PlanOngoing
58
P&P
Manager File ReviewsOngoingInternalPurchasing System Evaluation PlanOngoing
59
P&P
Procurement Card Transaction ReviewsOngoingInternalPurchasing System Evaluation PlanOngoing
60
P&P
Validation of Acquisition SavingsQuarterlyInternalPurchasing System Evaluation PlanQuarterly
61
PS
Fire Hazards Analysis (FHA) for B67, 84, 8512/21/13InternalC31; 420.1CAnnual
62
PS
Fire Hazards Analysis (FHA) for B612/21/13InternalC31: 420.1CAnnual
63
PS
Continuity of Operations Implementation Plan Self-Assessment3/31/14InternalC31; 150.1Annual
64
PS
Baseline Needs Assessment (BNA)7/30/14InternalC31; 420.1CTriennial, as needed; rolling schedule
65
PS
Continuity Annual Exercise9/30/14InternalC31; 150.1Annual
66
PS
Emergency Services Annual Exercise9/30/14InternalC31; 151.1CAnnual
67
PS
Emergency Services Self-Assessment (first responder)9/30/14InternalC31; 151.1CAnnual
68
PS
Safeguards & Security Survey3/3/14ExternalDOE O 470.4B3 years
69
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.
70
AFRD/ EHS
LOASIS & BELLA Accelerator Safety ReviewQ1ExternalDOE O 420.2CTriennialCompleted11/6/13
71
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.