Integrated Assessment Schedule FY14
Managed By (Org)PurposeDate ScheduledTypePrimary DriverPeriodicityDate Last CompletedStatusCompletion 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 neededCompleted6/12/14Lehman 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
DOE - OPA/EM (PMO)
EVMS SurveillanceAugust 2014ExternalDOE O 413.3BBiennial
10
BSO (Lab Dir)
Laboratory Directed Research & DevelopmentMarch 2014ExternalDOE O 413.2BAs neededBSO may enlist HQ support for this assessment
11
BSO (EHS)
Industrial Hygiene: Berylliumby 5/30/14External10 CFR 851As needed
12
BSO (EHS)
Independent Internal Dosimeteryby 9/1/14ExternalDOELAP AccreditationTriennial
13
BSO (EHS)
Industrial Hygiene: Laser Safetyby 6/1/14External10 CFR 851As needed
14
BSO (EHS)
Waste Managementby 9/1/14ExternalDOE O 435.1As needed
15
BSO (EHS)
Worker Safety & Health Programby 6/30/14External10 CFR 851As needed
16
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.
17
BSO (FAC)
Maintenance Review of Transformer Systemsby 8/31/14ExternalDOE BSOAs neededComplete
18
BSO (FAC)
Review of the Sustainability Requirements in Infrastructure Specificationsby 8/31/14ExternalDOE O 413.1BAs needed
19
BSO (FAC)
Subcontractor WP&C and Construction Safety for Small Construction Projectsby 9/1/14External10 CFR 851As neededComplete10/14
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 neededCompletedMarch 14
24
EHS
Waste Management Requisition ProcessFY14 Q3InternalAssurance ProgramAs neededFactual accuracy reviewNovember 14
25
EHS
Off-Site SafetyFY14 Q4InternalAssurance ProgramAs neededCompletedAugust 14
26
FAC
EFCOG Peer Review - Work Planning & ControlFeb 2014ExternalFAC ManagementAs neededMoved to FY15Moved to FY15
27
FAC
Peer Review of Safety Program (Subject TBD)Jul 2014ExternalFAC ManagementAs neededComplete08/14
28
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.
29
FAC
High Voltage Electrical Maintenance ProgramMay 2014InternalLab ManagementAs neededCompleted5/29/14
30
HR
HR Advisory Board2nd QtrInternalLab ManagementAnnualCompleted2/28/14
31
HR
Rehired Retiree Exception to Policy ReportingJan and JulyExternalUCOPSemiannualCompleted1/14 and 7/14
32
IAS
Subcontract AuditInternalFY14 LBNL Audit PlanAs neededN/AN/AProcurement took over this activity.
33
IAS
Compensated Outside Professional Activities3/31/14InternalFY14 LBNL Audit PlanAnnualDeferred to FY15Advisory
34
IAS
PO & Subcontract Awards and Compliance Monitoring3/31/14InternalFY14 LBNL Audit PlanAs neededCompleted2/28/14
35
IAS
IUTs Awards3/31/14InternalFY14 LBNL Audit PlanAs neededCompleted9/18/14
36
IAS
Conference Activities3/31/14InternalFY14 LBNL Audit PlanAs neededCompleted5/30/14
37
IAS
Recharges7/31/14InternalFY14 LBNL Audit PlanAs neededDropped
38
IAS (FAC)
Maintenance7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted9/25/14
39
IAS
FY13 Cost Allowability9/30/14InternalFY14 LBNL Audit PlanAnnualCompleted6/27/14
40
IAS
Payroll Processing9/30/14InternalFY14 LBNL Audit PlanAs neededCompleted9/29/14
41
IAS
Indirect Expense Budgeting and Monitoring9/30/14InternalFY14 LBNL Audit PlanAs neededDropped
42
IAS
F$M Pre-Implementation Review9/30/14InternalFY14 LBNL Audit PlanAs neededCompleted9/2/14Advisory
43
IAS (HR)
Administration of Employee Performance Evaluationby 12/31/13InternalFY14 LBNL Audit PlanAs neededCompleted3/7/14Advisory
44
IAS (HR)
Postdoc Classification and Compensationby 12/31/13InternalFY14 LBNL Audit PlanAs neededCompleted1/22/14Advisory
45
IAS (HR)
HR Services (Recruitment and Hiring)by 7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted7/2/14
46
IAS (HR)
Annual Report of Executive Compensationby 7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted4/30/14Advisory
47
IT
Project Assessments1 month of FY endInternalLBNL - CIOAnnually
48
IT
Risk Assessment Self Assessment10/1/2014InternalLBNL - CIOAnnually
49
IT
SC Surveys5/31/14ExternalBSO OversightAs needed
50
IT
Management Controls & Compliance Program7/1/2014InternalLBNL - CFOAs needed
51
OCA
Division ES&H Self-Assessments (various by division)OngoingInternalLab Mgmt - C31 Clause I.86, Clause H.30, DOE O 414.1DAnnual
52
OCFO-Financial Management
Resource Adjustment ReviewsOngoingInternalLab Management; C31 Clause H.30OngoingCompletedmultiple dates throughout the year
53
OCFO-Financial Management
Financial Management AssuranceBy 8/1/14InternalOMB A-123, Appendix AAnnualCompleted7/11/14
54
OCFO-Financial Management
IPERA ReviewBy 7/31/14InternalFMFIAAnnualCompleted7/15/14
55
P&P
Accounting and Control - Equipment /Accountable Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
56
P&P
Accounting and Control - High Risk Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
57
P&P
Accounting and Control - Attractive Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
58
P&P
Accounting and Control - Capital Accountable Property Inventory2/1/14InternalDOE Order 580.1AnnualCompleted7/28/14
59
P&P
Optional ReviewsAs neededInternalPurchasing System Evaluation PlanAs needed
60
P&P
Business Assurance Random Sample Review - Low Value SubcontractsNovember 2013InternalPurchasing System Evaluation PlanAnnual
61
P&P
Preaward Reviews (Managers & CRB)OngoingInternalPurchasing System Evaluation PlanOngoingCompletedmultiple
62
P&P
Manager File ReviewsOngoingInternalPurchasing System Evaluation PlanOngoingCompletedmultiple
63
P&P
Procurement Card Transaction ReviewsOngoingInternalPurchasing System Evaluation PlanOngoingCompletedmultiple
64
P&P
Validation of Acquisition SavingsQuarterlyInternalPurchasing System Evaluation PlanQuarterlyCompleted
65
PS
Fire Hazards Analysis (FHA) for B6712/21/13InternalC31; 420.1CAnnualDecember 2012delayed until April 2015
66
PS
Fire Hazards Analysis (FHA) for B612/21/13InternalC31: 420.1CAnnualDecember 201212/21/13
67
PS
Continuity of Operations Implementation Plan Self-Assessment3/31/14InternalC31; 150.1Annual2/7/14
68
PS
Baseline Needs Assessment (BNA)7/30/14InternalC31; 420.1CTriennial, as needed; rolling schedule7/30/14
69
PS
Continuity Annual Exercise9/30/14InternalC31; 150.1Annual8/5/14
70
PS
Emergency Services Annual Exercise9/30/14InternalC31; 151.1CAnnual8/5/14
71
PS
Emergency Services Self-Assessment (first responder)9/30/14InternalC31; 151.1CAnnual6/11/14
72
PS
Safeguards & Security Survey3/3/14ExternalDOE O 470.4B3 years3/3/14
73
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.
74
AFRD/ EHS
LOASIS & BELLA Accelerator Safety ReviewQ1ExternalDOE O 420.2CTriennialCompleted11/6/13
75
BSO
Finacial Systems ReviewQ3ExternalAward Term Extension ProposalAs neededCompleted9/2/14Review 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.
76
IAS
Emergency Managementby 9/30/14InternalFY14 LBNL Audit PlanAs neededCompleted9/29/14Supplemental audit, joint effort with BSO
77
IAS
Gifts Acceptance under Contract 31by 7/31/14InternalFY14 LBNL Audit PlanAs neededCompleted7/22/14Advisory
78
IAS
OMB A-123 IT General Controlsby 6/30/14InternalFY14 LBNL Audit PlanAs neededCompleted6/3/14Advisory
79
PS
Security Risk Assessment9/30/14InternalDOE O 470.4BTriennialCompleted9/30/14TriParty POCs: Anita Gursahani (UCOP), Kevin Harnett (BSO), Brian Strock (LBNL)
80
PS
Emergency Management Program Assessment9/30/14InternalDOE 151.1CTriennialCompleted9/29/14DOE/BSO, LBNL/Internal Audit