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CY_2010_ - Fermilab Powered By Docstoc
					                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                 Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                   Systems                     Frequncy                                                                 Status        POC                   Comments                 Org
                                                                                        Orders, Permits etc)                          D/S/C                      Method                        Start Date Start Date End Date   Date      Req    Req

                                              1.0                                   ISO 14001 Environmental                                                                                                                                                                       Simultaneus but separate audit
                                                                                    Mgmt Systems Assessment                                                                                                                                                                       teams 2010 is Trienniel
                                                                      A       A                                        NSF registrar    Fermilab     EH,QA         MA,TP        Semiannual      6/1/2010                                   N     ISO    On Schedule               Recertification                      AD


                                              2.0                                   OHSAS 18001 Occupational                                                                                                                                                                      Simultaneus but separate audit
                                                                                    Health Safety Assessment                                                                                                                                                                      teams 2010 is Trienniel
                                                                      A       A                                        NSF registrar    Fermilab     EH,QA         MA,TP        Semiannual      6/1/2010                                   N    OHSAS On Schedule                 Recertification                      AD


                                              3.0                                   DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists).
                                                                                    Programmatic Operations &
                                                                                    Maintenance - Accelerator
                                                                      A       A     Operations / Maintenance –             AD             AD           All          MA             Annual      2nd Qtr 09               2nd Qtr 10         Y                          Czarapata                                        AD
                                                                                    Paul Czarapata



                                              4.0                                   DOE Agreement Assessment                                                                                                                                                                      Here all means Paul C surveys lab-
                                                                                    Report (DOE/OQBP lists).                                                                                                                                                                      wid
                                                                                    Programmatic Operations &
                                                                                    Maintenance - Engineering
                                                          Co          A       A     (Accelerators / Detectors) –           AD             ALL          All          MA             Annual      2nd Qtr 09               2nd Qtr 10         Y                          Czarapata                                        AD
                                                                                    Paul Czarapata Quarterly
                                                                                    (DOE/OQBP list)


                                              5.0                                   Tripartite Assessment                                                                                                                                                                         Limited DOE of list reivewed for
                                                                                                                                                                                                                                                                                  opportunity to eliminate a 2nd
                                                          Co          A       A                                       ES&H,AD,DOE        Depart.       EH        IA,MA,TP          Annual       8/2/2010                9/3/2010           Y                                      DOE assessment of the same item.     AD
                                                                                                                                                                                                                                                                                  2010 "Hoisting & Rigging -
                                                                                                                                                                                                                                                                                  Training & Qualification"
                                              6.0                                   Operational Readiness
                                                                      A       A                                            AD          Experiments     EH           MA           As Needed                                                 N     AD                                                                    AD
                                                                                    Clearance - ORC
                                              7.0                                   Accelerator Safety Order
                                                                                    Assessment - DOE O 420.2B
                                                                              A                                           ES&H            AD           EH          IA,SA         As Needed                                                 Y                                                                           AD


                                              8.0                                   KPMG Financial Statement                                                                                                                                                                      KPMG for Cindy Conger CFO.
                                                                                    Audit & Special Process Spares                                                                                                                                                                Alicia Filak - Internal audit
                                                                                    (SPS) Inventory                                                                                                                                                                               department (IAD) is tasked with
                                                                                                                                                                                                                                                                                  assessing special process spares
                                                                              A                                       IAD,KPMG,BSS        AD           FI        IA,MA,TP          Annual                                                  Y    Fermi                             inventory annually per Alicia.       AD
                                                                                                                                                                                                                                                                                  Different organizations selected
                                                                                                                                                                                                                                                                                  annually but TD . AD & FESS for
                                                                                                                                                                                                                                                                                  SPS (per accounting)..


                                              9.0                                   DOE Safety Audit -32/yr / local                                                                                                                                                               May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                                        Inspections by AD. DR KM to
                                                                                                                                                                                                                                                                                  follow up with JohnA Are these
                                                                              IN                                        AD,DOE            AD           EH          MA,TP      weekly/monthly                                               Y                                      both weekly and monthly?             AD



                                            10.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                               May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                                        Inspections by AD.

                                                                              IN                                        AD,DOE            AD           EH          MA,TP      weekly/monthly                                               Y                                                                           AD



                                            11.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                               May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                                        Inspections by AD.

                                                                              IN                                        AD,DOE            AD           EH          MA,TP      weekly/monthly                                               Y                                                                           AD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                             Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                        Page 1 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                               Status   POC             Comments             Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date      Req    Req

                                            12.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            13.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            14.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            15.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            16.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            17.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            18.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            19.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            20.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            21.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                       Page 2 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                               Status   POC             Comments             Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date      Req    Req

                                            22.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            23.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            24.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            25.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            26.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            27.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            28.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            29.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            30.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD



                                            31.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                          AD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                       Page 3 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                               Status   POC               Comments                 Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date      Req    Req

                                            32.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            33.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            34.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            35.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            36.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            37.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            38.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            39.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            40.0                                    DOE Safety Audit -32/yr / local                                                                                                                                                 May be consolidated with HPR
                                                                                    Dept Heads Inspections                                                                                                                                                          Inspections by AD.

                                                                              IN                                      AD,DOE           AD           EH          MA,TP      weekly/monthly                                               Y                                                                AD



                                            41.0                                    Managment by Walk-around                                                                                                                                                        Every Wed. by AD HQ Scheduled
                                                                                                                                                                                                                                                                    areas. KM to discuss with
                                                                                                                                                                                                                                                                    JohnA. If we can periodically (say
                                                                                                                                                                                                                                                                    1/Q) summarize & trend with report
                                                                              IN                                       AD          Departments      EH           MA            Weekly          Wed.         Wed.     Wed.               N                           as an MA since there are records     AD
                                                                                                                                                                                                                                                                    and followup & fill out our form.



                                            42.0                                    DOE Science & Technology                                                                                                                                                        KM to find out if this is an A for
                                                                       ?      A     Review                             DOE           AD/PPD         CA            TP            Annual                                                  Y                           QA purposes. Plans, reports etc.     AD



63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                             Page 4 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End         DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                      Status    POC               Comments                 Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date            Req    Req

                                            43.0                                    QA Assessment ( Power outage
                                                                      A       A     Recovery )                        OQBP             AD           QA            IA             Once        6/7/2010     6/7/2010   8/27/2010   9/23/2010    Y    OQBP    Complete                                              AD

                                            44.0                                    HPR Highly Protected Risk                                                                                                                                                               GLOBAL - Is HPR Req. by DOE or
                                                                                    inspections / FESHM 6015                                                                                                                                                                not? - responses inconsistent. JH
                                                                                                                                                                                                                                                                            email to Bill James 01/03/2011.
                                                                                                                                                                                                                                                                            May be consolidated withDOE
                                                         C119                                                          AD              AD          EH/OT         MA             Annual                                                                                      Safety Audit/ DOE local Dept         AD
                                                                                                                                                                                                                                                                            Heads by AD. DR KM to follow
                                                                                                                                                                                                                                                                            up with JohnA JH add 24 line
                                                                                                                                                                                                                                                                            items for HPR. DR provide
                                                                                                                                                                                                                                                                            building inspected for each line
                                                                                                                                                                                                                                                                            item..
                                            45.0                                    HPR Highly Protected Risk
                                                                                    inspections / FESHM 6015           AD              AD          EH/OT         MA             Annual                                                                                                                           AD

                                            46.0                                    HPR Highly Protected Risk
                                                                                    inspections / FESHM 6015           AD              AD          EH/OT         MA             Annual                                                                                                                           AD

                                            47.0                                    HPR Highly Protected Risk
                                                                                    inspections / FESHM 6015           AD              AD          EH/OT         MA             Annual                                                                                                                           AD

                                            48.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            49.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            50.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            51.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            52.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            53.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            54.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            55.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            56.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            57.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            58.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            59.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            60.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            61.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            62.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            63.0                                    Accelerator Advisory                                                                                                                                                                    Is this DOE Req'd or not? Steve
                                                                                    Committee (AAC) project                                                                                                                                                                 Holmes chooses members.
                                                                                    reviews                                                                                                                                                                                 KM to find out if this is an A for
                                                                       ?      ?                                        DIR           AD/APC       PROGRAM      MA,DA         Semiannual        varies       varies    varies      varies     Y/N                            QA purposes. Plans, reports etc.     AD



                                            64.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            65.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            66.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            67.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            68.0                                    HPR Highly Protected Risk
                                                                                                                       AD              AD          EH/OT         MA             Annual                                                                                                                           AD
                                                                                    inspections / FESHM 6015
                                            69.0                                    QA Assessment ( RF Processes -
                                                                      A       A     - 7835 handling -- Proton         OQBP             AD           QA            IA             Once       11/23/2009 11/23/2009 1/11/2010      1/11/2009    N     QA                                                           AD
                                                                                    source)




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                     Page 5 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End             DOE     Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                                 Status         POC                      Comments                    Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date                Req      Req

                                            70.0                                    LBNE Director's Review (CD-1                                                                                                                                                                                 All project reviews added by JH
                                                                                    preparation)                                                                                                                                                                                                 based on TD entries
                                                                              A                                         DIR           AD/TD         OT           DA         As Requested     6/1/2010                9/30/2010                    N                  On Schedule                                                           AD


                                            71.0                                    LBNE "Lehman" Review (DOE
                                                                      A       A                                         DOE           AD/TD         OT            TP        As Requested     6/1/2010                9/30/2010                    Y                  On Schedule                                                           AD
                                                                                    CD-1)
                                            72.0                                    Mu2E Director's Review (CD-1
                                                                              A                                         DIR           AD/TD         OT           DA         As Requested     6/1/2010                9/30/2010                    N                  On Schedule                                                           AD
                                                                                    preparation)
                                            73.0                                    Mu2E "Lehman" Review (DOE
                                                                      A       A     CD-1)                               DOE           AD/TD         OT            TP        As Requested     6/1/2010                9/30/2010                    Y                  On Schedule                                                           AD

                                            74.0                                    NOvA "Lehman" Review (DOE
                                                                      A       A                                         DOE           AD/TD         OT            TP        As Requested     6/1/2010                8/31/2010                    Y                  On Schedule                                                           AD
                                                                                    progress review)
                                            75.0                                    NOvA Director's Review (prep
                                                                      A       A                                         DOE           AD/TD         OT            TP        As Requested     6/1/2010                8/31/2010                    Y                  On Schedule                                                           AD
                                                                                    for DOE progress review)
                                            76.0                                    FRA Visiting Committee for                                                                                                                                                                                   Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                                   Changes to FRA Board - Contractor
                                                                                                                                                                                                                                                                                                 Assurance Assessment / H13
                                                                      A       A                                      FRA-BOD            AD        CA/QA           IA            Annual       8/1/2010                8/31/2010                    N                   Complete        Dixon      Clause (Formerly Peer Review) -           AD
                                                                                                                                                                                                                                                                                                 JH


                                            77.0                                    ISO 14001 Environmental                                                                                                                                                                                      Simultaneus but separate audit
                                                                                    Mgmt Systems Assessment                                                                                                                                                                                      teams 2010 is Trienniel
                                                                                                                                                                                                                                                                                                 Recertification
                                                                                                                                                                                                                                                                                                 FC General comment for all items
                                                                                                                                                                                                                                                                                                 on this list, to list drivers (orders,
                                                                      A       A                                     NSF registrar     Fermilab    EH,QA         MA,TP        Semiannual      6/1/2010                                             N       ISO        On Schedule                                                           BSS
                                                                                                                                                                                                                                                                                                 regs, permits etc) etc.
                                                                                                                                                                                                                                                                                                 JH FC fill in blanks on dates etc
                                                                                                                                                                                                                                                                                                 JH JJC evaluate A or a and
                                                                                                                                                                                                                                                                                                 Consolidation status.

                                            78.0                                    OHSAS 18001 Occupational                                                                                                                                                                                     Simultaneus but separate audit
                                                                      A       A     Health Safety Assessment        NSF registrar     Fermilab    EH,QA         MA,TP        Semiannual      6/1/2010                                             N     OHSAS On Schedule                        teams 2010 is Trienniel                   BSS
                                                                                                                                                                                                                                                                                                 Recertification
                                            79.0                                    Daily Occupancy List                                                                                                                                                                                        Listing of occupants in all residences;
                                                                                                                                                                                                                                                         BSS-                                   used by Security primarily on off-
                                                                                                                   Accommodations    BSS-Accom.     SS           MA              Daily                                                            N     Security                   Jack Hawkins hours.                                     BSS
                                                                                                                                                                                                                                                          SS                                    Daily Status Reports
                                            80.0                                    Housing Operating Statement                                                                                                                                                                                 Housing income/expenses.
                                                                                                                                                                                                                                                         BSS-
                                                                                                                   Accommodations    BSS-Accom.     FI           MA            Monthly                                                            N                                Jack Hawkins Roll up comparisions compared to +/-       BSS
                                                                                                                                                                                                                                                        Accom.
                                                                                                                                                                                                                                                                                                2% accounting
                                            81.0                                    Housing Income/Occupancy                                                                                                                                             BSS-                                   Internal % Occupancy.
                                                                                                                   Accommodations    BSS-Accom.     QA           MA            Monthly                                                            N                                Jack Hawkins
                                                                                                                                                                                                                                                                                                Work process monitoring.                   BSS
                                                                                    Report                                                                                                                                                              Accom.
                                            82.0                                    ProCard Justification                                                                                                                                                                                       ProCard log for all Housing personnel.
                                                                                                                                                                                                                                                         BSS-
                                                                              A                                    Accommodations    BSS-Accom.     OT           MA            Monthly                                                            N                                Jack Hawkins Internal random audits. Also audited       BSS
                                                                                                                                                                                                                                                        Accom.
                                                                                                                                                                                                                                                                                                by IA
                                            83.0                                    Rental Survey                                                                                                                                                                                               Comparison of rental rates in this area.
                                                                                    / OMB Circular No. A-45                                                                                                                                                                                     OMB Circular No. A-45 compliance.
                                                                                    compliance                                                                                                                                                                                                  Done for accomodations by a 3rd party
                                                                                                                                                                                                                                                                                                Real Estate Law Office.
                                                                                                                                                                                                                                                                                                Frank - What is the firm's name?
                                                                                                                   Real Estate Law                                                                                                  October
                                                                              A                                                      BSS-Accom.     OT          MA,TP           Annual                                                            N    Directorate                 Jack Hawkins Dave has Jack compare current rates        BSS
                                                                                                                       Office.                                                                                                   (Fiscal Year)                                                  against the survey and propose rate
                                                                                                                                                                                                                                                                                                adjustments which Dave then gets
                                                                                                                                                                                                                                                                                                approval for from Bruce Chrisman.



                                            84.0                                    Summer Housing Requests                                                                                                                                                                                     Directorate uses to select experiments
                                                                                                                                                                                                                                                                                                receiving housing. (Roy Rubenstein)
                                                                                                                                                                                                                                                                                                Report lisitng by experiment who
                                                                                                                   Accommodations    BSS-Accom.     OT           MA             Annual                                              March         N    Directorate                 Jack Hawkins                                            BSS
                                                                                                                                                                                                                                                                                                occupies & the # available.



                                            85.0                                    Fall/Spring Housing Requests                                                                                                                                                                                Directorate uses to select experiments
                                                                                                                                                                                                                                                                                                receiving housing. Report to determine
                                                                                                                                                                                                                                                                                                who gets or does not get housing &
                                                                                                                   Accommodations    BSS-Accom.     OT           MA             Annual                                               July         N    Directorate                 Jack Hawkins                                            BSS
                                                                                                                                                                                                                                                                                                who has to go offsite for housing.




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                               Page 6 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                 Assessment                      Planned     Actual   Planned Actual End      DOE    Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                   Systems                     Frequncy                                                                      Status      POC                       Comments                       Org
                                                                                        Orders, Permits etc)                          D/S/C                      Method                        Start Date Start Date End Date   Date         Req     Req

                                            86.0                                    Arrival Inspections                                                                                                                                                                              Inspection upon arrival - state of the
                                                                                                                                                                                                                                                                                     housing. Phyiscal walk thru Houses &
                                                                                                                                                                                                                                                     BSS-
                                                                                                                       Accommodations   BSS-Accom.     OT           MA             Various                                                    N                         Jack Hawkins Appartments (ex: Aspen East" only, not         BSS
                                                                                                                                                                                                                                                    Accom.                           dorm rooms.


                                            87.0                                    Housing Maintenance Statement                                                                                                                                                                    Similar to Housing Operating
                                                                                                                                                                                                                                                     BSS-
                                                                                                                       Accommodations   BSS-Accom.     FI           MA            Monthly                                                     N                         Jack Hawkins Statement                                      BSS
                                                                                                                                                                                                                                                    Accom.
                                            88.0                                    Non-Housing Maintenance                                                                                                                                                                          Some housing is not owned by BSS but
                                                                                    Statement                                                                                                                                                                                        is still maintained by BSS.
                                                                                                                                                                                                                                                                                     Similar to Housing Maintenance
                                                                                                                                                                                                                                                                                     Statement but of non-accomodations.
                                                                                                                                                                                                                                                                                     FESS does some kinds of maintenance
                                                                                                                                                                                                                                                     BSS-
                                                                                                                       Accommodations   BSS-Accom.     FI           MA            Monthly                                                     N                         Jack Hawkins such as HVAC & plumbing. BSS has 2             BSS
                                                                                                                                                                                                                                                    Accom.
                                                                                                                                                                                                                                                                                     full time carpenters on staff.




                                            89.0                                    Departure Inspections                                                                                                                                                                            Inspection walk thru's upon departaure -
                                                                                                                                                                                                                                                     BSS-                            state of the housing for maintenance &
                                                                              A                                        Accommodations   BSS-Accom.     OT           MA             Various                                                    N                         Jack Hawkins safety                                         BSS
                                                                                                                                                                                                                                                    Accom.

                                            90.0                                    Chez Leon Operating Statement                                                                                                                                                                    Financial Report by Accounts
                                                                                                                                                                                                                                                                                     Receivable @ Fermilab.
                                                                                                                                                                                                                                                     BSS-                            chez leon is operated only with income
                                                                                                                       Accommodations   BSS-Accom.     FI           MA            Monthly                                                     N                         Jack Hawkins & FRA supplementary funds. Costs               BSS
                                                                                                                                                                                                                                                    Accom.
                                                                                                                                                                                                                                                                                     are non-allowable by DOE.

                                            91.0                                    Task Manager Training Report /                                                                                                                                                                   Report
                                                                                    FESHM #?                                                                                                                                                                                         Task managers supervise contractors.
                                                                                                                                                                                                                                                                                     Report re 10hrs continuing education
                                                                                                                                                                                                                                                                                     per Subcontractor Safety
                                                                                                                                                                                                                                                                                     Subcommittee S3. May have optional
                                                                                                                                                                                                                                                                                     (such as Human Performance
                                                                                                                                                                                                                                                                                     Improvement HPI) or mandatory. SSO
                                                                                                                                                                                                                                October            BSS-SSO
                                                                                                                       Accommodations   BSS-Accom.     EH           MA             Annual                                                     N                         Jack Hawkins reviews proposed courses. & recieves           BSS
                                                                                                                                                                                                                             (Fiscal Year)           EH                              the training report then forwards the
                                                                                                                                                                                                                                                                                     report to the ES&H Section.
                                                                                                                                                                                                                                                                                     Frank/Greg - need the FESHM chapter
                                                                                                                                                                                                                                                                                     reference requirement. Searched terms
                                                                                                                                                                                                                                                                                     in 7011 but nothing came up.



                                            92.0                                    Cafeteria Operating Statement                                                                                                                                                                    Financial Report
                                                                                                                                                                                                                                                     BSS-                            Cafeteria income/expenses.
                                                                                                                       Accommodations   BSS-Accom.     FI           MA            Monthly                                                     N                         Jack Hawkins
                                                                                                                                                                                                                                                                                     Is allowed to use DOE funding.                 BSS
                                                                                                                                                                                                                                                    Accom.
                                                                                                                                                                                                                                                                                     Task # 801004
                                            93.0                                    Special Event Invoicing - Food                                                                                                                                                                   Issued to Accounting where it is used
                                                                                                                                                                                                                                                                                     to determine allowability and proper
                                                                                                                                                                                                                                                      FI-                            funding source.
                                                                                                                                                                                                                                                   Accountin                         Food okay for Large Users Meeting
                                                                              A                                        Accommodations   BSS-Accom.     FI           MA            Monthly                                                     N                         Jack Hawkins (lunches etc Req >50% non Fermilab             BSS
                                                                                                                                                                                                                                                       g
                                                                                                                                                                                                                                                     FRA                             otherwise light refreshments only)
                                                                                                                                                                                                                                                                                     Cafeteria Services


                                            94.0                                    Southern Annual Budget -                                                                                                                                         BSS-                            Financila Statement Southern's budget -
                                                                                                                                                                                                                                October
                                                                                    Cafeteria                          Accommodations   BSS-Accom.     FI           MA             Annual                                                     N    Procureme            Jack Hawkins NOT Fermi's budget. Ties to a PO# /            BSS
                                                                                                                                                                                                                             (Fiscal Year)                                           contract.
                                                                                                                                                                                                                                                       nt
                                            95.0                                    Users Center Operating                                                                                                                                                                             Financial Users Center Bar
                                                                                    Statement                                                                                                                                                        BSS-                              income/expenses. Tied to Southern's
                                                                                                                       Accommodations   BSS-Accom.     FI           MA            Monthly                                                     N                         Jack Hawkins                                                BSS
                                                                                                                                                                                                                                                    Accom.                             PO# / contract.

                                            96.0                                    Special Event Invoicing - Liquor                                                                                                                                  FI-                            Financial
                                                                              A                                        Accommodations   BSS-Accom.     FI           MA            Monthly                                                     N    Accountin            Jack Hawkins Used by Accounting to determine                BSS
                                                                                                                                                                                                                                                       g                             allowability and proper funding source.
                                                                                                                                                                                                                                                     FRA                             100% FRA. Similar to Special Event
                                            97.0                                    Southern Annual Budget - Users                                                                                                                                                                   Southern's budget - NOT Fermi's
                                                                                                                                                                                                                                                     BSS-                            budget. Assurances that they are in
                                                                                    Center                                                                                                                                      October
                                                                              A                                        Accommodations   BSS-Accom.     FI           MA             Annual                                                     N    Procureme            Jack Hawkins good financial health                          BSS
                                                                                                                                                                                                                             (Fiscal Year)
                                                                                                                                                                                                                                                       nt

                                            98.0                                    Health Inspections - Chez Leon,                                                                                                                                                                    Frank / Jack need contractors name.
                                                                                    User Center, Cafeteria                                                                                                                                                                             Not done by county at Fermilab.
                                                                              A                                          Contractor     BSS-Accom.     EH          MA,TP          Quarterly                                                                                                                                         BSS

                                            99.0                                    Insurance Walk throughs for                                                                                                                                                                        Frank / Jack need contractors name if
                                                                              A     Legal Liabililty                                    BSS-Accom.                  MA                                                                                                                 there is one (legal firm)? Need to fill in   BSS
                                                                                                                                                                                                                                                                                       the blanks?


63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                             Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                     Page 7 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                  Assessment                      Planned     Actual   Planned Actual End             DOE     Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                    Systems                     Frequncy                                                                               Status       POC                      Comments                    Org
                                                                                        Orders, Permits etc)                          D/S/C                       Method                        Start Date Start Date End Date   Date                Req      Req

                                           100.0                                    851 Assessments / 10CFR851                                                                                                                                                                                  3 topics each timeUsed by DOE in lieu
                                                                                    Worker Safety & Health.                                                                                                                                                                                     of OSHA. BSS SSO is part of the
                                                                                                                                                                                                                                                                                                assessment team. Reports up to 2009
                                                                                                                                                                                                                                        October              ES&H
                                                                       ?      A                                      DOE,ES&H,BSS                       EH           MA             Annual                                                            Y                           Greg Mitchell are in docDB.                              BSS
                                                                                                                                                                                                                                     (Fiscal Year)            DOE                               Done lab-wide as Meetings w
                                                                                                                                                                                                                                                                                                DOE/ES&H/lab SSOs.
                                                                                                                                                                                                                                                                                                JH see Martha for details.
                                           101.0                                    ES&H Self-Assessment /                                                                                                                                                                                      Reports all walkthroughs, HPRs to lab
                                                                                    FESHM 1040.1                                                                                                                                                                                                Director & ES&H by Sept 30th per
                                                                                                                                                                                                                                                                                                FESHM 1040.1 section then
                                                                                                                                                                                                                                                           Directorate
                                                                      A       A                                           BSS              BSS          EH           MA             Annual                                             October        N                           Greg Mitchell summarized. Results and status against     BSS
                                                                                                                                                                                                                                                               EH
                                                                                                                                                                                                                                                                                                planned assessments.


                                           102.0                                    Drill Critiques                                                                                                                                                                                             Drill 5 total drills including
                                                                                                                                                                                                                                                                                                Severe weather and fire. Credit for
                                                                                                                                                                                                                                                                                                response to real events. Reports to Bill
                                                                                                                                                                                                                                                                                                James who summarizes completed
                                                                                                                                                                                                                                                                                                ones. Part of Emergency Preparedness.
                                                                                                                                                                                                                                                                                                Required by Emergency Plan.
                                                                                                                                                                                                                                     March and                                                  Occupoied Bldgs at least 2/yr)
                                                                              A                                          ES&H              BSS          EH           MA          Semiannual                                                           N       EH                  Greg Mitchell JH- check ES&H and enumerate each          BSS
                                                                                                                                                                                                                                      October
                                                                                                                                                                                                                                                                                                line item for Bill James Drills..
                                                                                                                                                                                                                                                                                                Emergency Warden ES&H and Bldg
                                                                                                                                                                                                                                                                                                Mgr usually.




                                           103.0                                    DOE-FSO Assessment                                                                                                                                                                                          FSO 3 yr plan to COO for concurrence.
                                                                                    Response and Corrective Action                                                                                                                                                                              Topics vary. Last one Repirators
                                                                                    Plans                                                                                                                                                                                                       others such as Spill Protection.
                                                                                                                                                                                                                                                                                                JH FC is this just responses and CAPs
                                                                              A                                           BSS                           EH          IA,MA        As Requested                                                         Y    DOE-FSO                Greg Mitchell for assessments conducted by FSO           BSS
                                                                                                                                                                                                                                                                                                from teir 3 year plan?




                                           104.0                                    Tripartite Assessments /                                                                                                                                                                                    Submit topic beginnig FY. Can change
                                                                                    FESHM 1040.1                                                                                                                                                             ES&H                               topoic and switch dates with others.
                                                                              A                                      DOE,ES&H,BSS                       EH        IA,MA,TP          Annual       6/1/2010                8/30/2010                    Y       DOE                 Greg Mitchell FESHM 1040.1 requires that the             BSS
                                                                                                                                                                                                                                                              BSS                               section leads these.

                                           105.0                                    Fire Department Self-                                                                                                                                                                                          Part of Emergency Mgmt Plan
                                                                                                                                                                                                                                                              BSS
                                                                                    Assessment                                                                                                                                          October                                                    Report - summary of monthly status
                                                                              A                                      Fire Department     BSS-FD         EM           MA             Annual                                                            Y     Section               Jack Steinhoff
                                                                                                                                                                                                                                                                                                   reports                                 BSS
                                                                                                                                                                                                                                     (Fiscal Year)         Office EM

                                           106.0                                    Balanced Scorecard Assessment                                                                                                                                                                               Format is BSS format and is more free
                                                                                    Report                                                                                                                                                                                                      form than some other Balanced
                                                                                                                                           BSS-
                                                                              A                                       Procurement                       CA           MA             Annual                                             October        Y    DOE-FSO                 Joe Colliins Scorecard assessment reports.              BSS
                                                                                                                                        Procurement


                                           107.0                                    DOE Agreement Assessment                                                                                                                                                                                    Based on balanced scorecard &
                                                                                    Report - Procurement                                                                                                                                                                                        narratives. Tied to PEMP.
                                                                                                                                           BSS-                                                                                                                                                 This is not on Bob's Mgmt Systems to
                                                                              A                                       Procurement                       CA           MA           Semiannual                                            APRIL         Y    DOE-FSO                 Joe Colliins                                            BSS
                                                                                                                                        Procurement                                                                                                                                             be Assessed by Quarter List
                                                                                                                                                                                                                                                                                                (DOE/OQBP lists)

                                           108.0                                    Small Business Subcontracting                          BSS-                                                                                                                                                    Biannual Report to DOE website
                                                                              A                                      Procurement                        CA            RP           Biannual                                                           Y                            Joe Colliins                                            BSS
                                                                                    Report                                              Procurement
                                           109.0                                    Procurement Second Level Self-                                                                                                                                           BSS-
                                                                                                                                           BSS-
                                                                      A       A     Assessment Reports             BSS Section Office                   QA           MA          As Requested                                                         N     Section                Joe Colliins                                            BSS
                                                                                                                                        Procurement
                                                                                                                                                                                                                                                            Office
                                           110.0                                                                                           BSS-                                                                                                                                                    Examples include ARRA spending
                                                                      A       A                                         DOE-IG                                        TP         As Requested                                                         Y                            Joe Colliins                                            BSS
                                                                                                                                        Procurement
                                           111.0                                    FSO                                                                                                                                                                                                         Contracting Officier. Sample of Pos
                                                                                                                                                                                                                                                                                                from a list audited. Last time was 2
                                                                                                                                                                                                                                                                                                years ago. Look to see if rules
                                                                                                                                           BSS-
                                                                      A       A                                           DOE                                         TP         As Requested                                                         Y                            Joe Colliins followed. DOE will review/approve all      BSS
                                                                                                                                        Procurement                                                                                                                                             PO>$5million are



                                           112.0                                                                                           BSS-                                                                                                                                                 Could be HQ or CH etc. Audit files for
                                                                      A       A                                         DOE-CH                                        TP         As Requested                                                         Y                            Joe Colliins compliance                                 BSS
                                                                                                                                        Procurement




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                              Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                           Page 8 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                     Assessment                       Planned     Actual   Planned Actual End        DOE     Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                       Systems                     Frequncy                                                                           Status        POC                       Comments                      Org
                                                                                        Orders, Permits etc)                          D/S/C                          Method                         Start Date Start Date End Date   Date           Req      Req

                                           113.0                                    Balanced Scorecard Assessment                                                                                                                                                                                  Report is based upon Property and
                                                                                    Report                                                                                                                                                                                                         Fleet Management metrics - three
                                                                                                                                           BSS-PIC                                                                                                                                                 different perspectives and
                                                                                                                       Property and                                                                                                                                                                approximately 10 mandatory and
                                                                              A                                                           BSS-Transp.      CA           MA             Annual                                            October     Y    DOE-FSO                   Jack Kelly                                                BSS
                                                                                                                     Inventory Control                                                                                                                                                             optional metrics.
                                                                                                                                            Srvcs.
                                                                                                                                                                                                                                                                                                   Has a plan and assessment.


                                           114.0                                    DOE Agreement Assessment                                                                                                                                                                                       Self-assessment for the Laboratory
                                                                                    Report / Security - Property &                                                                                                                                                                                 Property Management System. Looks
                                                                                    InventoryControl                                                                                                                                                                                               at how the Property Management and
                                                                                                                                                                                                                                                                                                   Fleet Operations are doing against
                                                                                                                                           BSS-PIC                                                                                                                                                 Balanced Scorecard metrics and
                                                                                                                       Property and                                                                                                                                                                noteworthy accomplishments.
                                                                      A       A                                                           BSS-Transp.      CA           MA           Semiannual                                          APRIL       Y      OQBP                    Jack Kelly                                                BSS
                                                                                                                     Inventory Control      Srvcs.                                                                                                                                                 Not on Bob's Mgmt Systems to be
                                                                                                                                                                                                                                                                                                   Assessed List




                                           115.0                                    DOE Agreement Assessment                                                                                                                                                                                       Self-assessment for the Transportation
                                                                                    Report lists). Export Control                                                                                                                                                                                  Services and Property Management
                                                                                    Self-Assessment                                                                                                                                                                                                functions for export control
                                                                                                                       Property and                                                                                                                                                                restrictions. (non-proliferation) High
                                                                      A       A                                                             BSS-PIC        CA           MA           Semiannual                                         APRIL/OCT    Y      OQBP                    Jack Kelly                                                BSS
                                                                                                                     Inventory Control                                                                                                                                                             Risk Items. In PEMP. Not on OBBP
                                                                                                                                                                                                                                                                                                   Quarterly assessments list.


                                           116.0                                    Tripartitie                                                                                                                                                                                                    Compliance with moratorium on
                                                                                                                                                                                                                                                                                                   recycling of materials exposed to
                                                                                                                                                                                                                                                                                                   radiological hazards or in posted
                                                                      A       A                                      DOE,ES&H,FESS          BSS-PIC      EH/QA       IA,MA,TP       As Requested                                                                                                   radiological controlled areas. This was    BSS
                                                                                                                                                                                                                                                                                                   led by Rod Walton of FESS.



                                           117.0                                    Property Mgmt System                                                                                                                                                                                           Reapproval of entire Property Mgmt
                                                                      A       A     Reapproval                           DOE-CH             BSS-PIC        QA            TP           Triennial     6/28/2010               7/2/2010                                                               System including Fleet Mgmt by DOE-        BSS
                                                                                                                                                                                                                                                                                                   CH for FSO. Compares
                                                                                                                                                                                                                                                                                                   policies/procedures with DOE
                                                                                                                                                                                                                                                                                                   Assessment to cover Telecom-wired.
                                           118.0                                    QA Assessment TELECOM
                                                                                                                                                                                                                                                                                     Frank
                                                                      A       A                                           OQBP            BSS-Telecom.     QA            IA             Once        15/02/2010 29/03/2010 15/02/2010 29/03/2010      N      OQBP                                                                              BSS
                                                                                                                                                                                                                                                                                    Cesarano

                                           119.0                                    FRA Visiting Committee for                                                                                                                                                                                     Inserted as placeholder . For FY11-
                                                                                                                                          BSS-Section
                                                                      A       A     Administration & Operations         FRA-BOD                          CA/QA         IA,MA           Annual        8/1/2010    8/2/2010   8/31/2010    8/4/2010    N    Directorate   Complete   Dave Carlson Changes to FRA Board - Contractor             BSS
                                                                                                                                            Office
                                                                                                                                                                                                                                                                                                   Assurance Assessment / H13
                                           120.0                                    Miscellaneous Internal Audit                                                                                                                                                                                   Alicia decides topicsPeer Review) -
                                                                                                                                                                                                                                                                                                   Clause (Formerly with inputs from
                                                                                    Assessments                                           BSS-Section                                                                                                                                              audited organization.
                                                                              A                                      BSS Section Office                    CA            IA         As Requested                                            V        Y    Directorate              Dave Carlson                                               BSS
                                                                                                                                            Office


                                           121.0                                    DOE Agreement Assessment                                                                                                                                                                                     Multiple subjects each year from
                                                                                    Report (DOE/OQBP) lists /                                                                                                                                                                                    PEMP.
                                                                                    Physical Security - Protection                                                                                                                                                                               Combined with Annual Performance
                                                                                    Systems, Program                                                                                                                                                                                             Measure Review.
                                                                              A                                           Security        BSS-Security     CA           MA           Semiannual                                           April      Y      DOE                    Bill Flaherty This IS on Bob's Mgmt Systems to be          BSS
                                                                                    Manaagement, Protective
                                                                                                                                                                                                                                                                                                 Assessed List. -
                                                                                    Forces



                                           122.0                                    Training Approval Plan                                                                                                                                                                                       JH - SR What does green mean?
                                                                                    Assessment Report (TAPAR)                                                                                                                                                                                    Assessment of security officer
                                                                                                                                                                                                                                                                                                 training program. TAPAR is part
                                                                                                                                                                                                                                                                                                 of a recertification of the training
                                                                                                                                                                                                                                                                                                 program which is currently required
                                                                      A       A                                           Security        BSS-Security     SS           MA          Every 5 years                                                    Y     DOE SS                  Bill Flaherty                                              BSS
                                                                                                                                                                                                                                                                                                 every 5 years. Not Fermilab
                                                                                                                                                                                                                                                                                                 contractors but will be in FY11.



                                           123.0                                    Lab Self-Assessment Physical
                                                                              A                                           Security          Fermilab       SS           MA             Annual                                                        Y     DOE SS                  Bill Flaherty                                              BSS
                                                                                    Security
                                           124.0                                    DOE Agreement Assessment                                                                                                                                                                                       Annual energy report -petroleum
                                                                                    Report. Transformational                                                                                                                                                                                       savings and alternative fuel usage goals
                                                                                    Energy Action Management -                                                                                                                                                                                     and achievement.
                                                                                    TEAM/Report                        Transportation     BSS-Transp.                                                                                                                                George        FESS runs program. BSS sends report
                                                                              A                                                                            CA           MA             Annual                                            October     Y     DOE EH                                  to FESS (Randy O.)                         BSS
                                                                                                                           Srvcs.           Srvcs.                                                                                                                                  Davidson
                                                                                                                                                                                                                                                                                                   E85 fuel used on site DOE Energy
                                                                                                                                                                                                                                                                                                   Initiative. Not on OQBP Quarterly
                                                                                                                                                                                                                                                                                                   assessments list.




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                           Page 9 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                    Assessment                      Planned     Actual   Planned Actual End       DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                      Systems                     Frequncy                                                                       Status      POC                       Comments                       Org
                                                                                        Orders, Permits etc)                          D/S/C                         Method                        Start Date Start Date End Date   Date          Req    Req

                                           125.0                                    Local Use Objectives - Goals, a                                                                                                                                                                        Yearly mileage/usage objectives to
                                                                                    plan                                                                                                                                                                                                   comply with Federal Property
                                                                                                                       Transportation                                                                                                                                         George       Management regulations.. In Property
                                                                              A                                                           All D/S/C       CA           MA             Annual                                           October    Y     DOE                                                                             BSS
                                                                                                                           Srvcs.                                                                                                                                            Davidson      Mgmt Balanced Scorecard.

                                           126.0                                    Underground Storage Tank                                                                                                                                                                               JH - SR what does grey mean? I use it
                                                                                    Data (USTD)                                                                                                                                                                                            to show removed.
                                                                                                                                                                                                                                                                                           ES&H will occasionally assess the Fuel
                                                                                                                                                                                                                                                                                           Service Center to insure that
                                                                                                                                                                                                                                                                                           Transportation Services practices the
                                                                                                                      ES&H,DOE,IEPA,     BSS-Transp.                                                                                                     EH                   George       necessary measures to comply with
                                                                              A                                                                           EH          IA,TP        As Requested                                          V        Y                                                                                     BSS
                                                                                                                           EPA             Srvcs.                                                                                                       DOE                  Davidson      FNAL's air emission permit. A DOE
                                                                                                                                                                                                                                                                                           representative will usually participate in
                                                                                                                                                                                                                                                                                           the assessment.



                                           127.0                                    Fuel Center Operations                                                                                                                                                                                 Illinois EPA authorities have been to
                                                                                                                                                                                                                                                                                           the Fuel Service Center to audit/assess
                                                                                                                                                                                                                                                                                           the operations of the facility to insure
                                                                                                                                                                                                                                                                                           that we are in compliance with the
                                                                                                                                                                                                                                                                                           Illinois EPA regulations. The IEPA
                                                                                                                                                                                                                                                                                           representative is accompanied by a
                                                                                                                                                                                                                                                                                           DOE representative when they arrive at
                                                                                                                      ES&H,DOE,IEPA,     BSS-Transp.                                                                                                                          George       the Fuel Service Center.
                                                                              A                                                                           EH          IA,TP        As Requested                                          V        N     EPA                                                                             BSS
                                                                                                                           EPA             Srvcs.                                                                                                                            Davidson      System has automatic monitoring.
                                                                                                                                                                                                                                                                                           JH, JJC looks like work process
                                                                                                                                                                                                                                                                                           controls/monitoring not assessments.




                                           128.0                                    Illinois Department of Fire                                                                                                                                                                            True assessment.
                                                                                    Marshall                                                                                                                                                                                               An agent of the Illinois Fire Marshall's
                                                                                                                                                                                                                                                                                           (IFM) department will show up
                                                                                                                                                                                                                                                                                           unannounced to audit the fuel station
                                                                                                                                                                                                                                                                                           for compliance with the IFM
                                                                                                                                                                                                                                                                                           regulations concerning underground
                                                                                                                                         BSS-Transp.                                                                                                   EH Fire                George       storage tanks. The agent will check
                                                                              A                                       IFM,ES&H,DOE                        CA          IA,TP        As Requested                                          V        Y                                        other things like paperwork and              BSS
                                                                                                                                           Srvcs.                                                                                                      Marshall              Davidson
                                                                                                                                                                                                                                                                                           stickers to verify Illinois code
                                                                                                                                                                                                                                                                                           compliance.
                                                                                                                                                                                                                                                                                           FC - are there reports, CAPs etc.




                                           129.0                                    Quarterly Walkthrough                                                                                                                                                                                  Mgmt walkthroughs invite DOE,
                                                                                    Tripartite?                                                                                                                                                                                            ES&H etc. Dave Carlson. SSO each
                                                                                                                                                                                                                                                                                           time. Records in ESHTRAK
                                                                                                                       DIR,BSS,DOE           BSS          EH        IA,MA,TP         Quarterly                                                                                             Not on the ES&H 2010 Tripartite list.        BSS
                                                                                                                                                                                                                                                                                           See above for ES&H listed.


                                           130.0                                    Highly Protected Risk (HPR) /                                                                                                                                                                          Fire Protection Engineer on team
                                                                                                                                                                                                                                                                             Bill James,
                                                                                    FESHM 6015                          ES&H,BSS             BSS          EH          IA,MA                                                                                                                FC list each building assessed for fy        BSS
                                                                                                                                                                                                                                                                             Jim Priest
                                                                                                                                                                                                                                                                                           2010 and further if you have it.
                                           131.0                                    Annual KPMG financial
                                                                      A       A                                           KPMG               BSS          FI            IA            Annual                                                                                                                                            BSS
                                                                                    assessement for FI CFO
                                           132.0                                    Technical Publications                                   BSS -                                                                                                                                         Added from IAD schedule - Jed
                                                                      A       A                                            IAD            Information                   IA         As Requested    10/1/2009               9/30/2010                              Complete                                                              BSS
                                                                                                                                           Resources
                                           133.0                                    ARRA Prcurement Activities                               BSS -                                                                                                                                         Added from IAD schedule - Jed
                                                                      A       A                                            IAD                            FI            IA         As Requested    10/1/2009               9/30/2010                              Complete                                                              BSS
                                                                                                                                         Procurements
                                           134.0                                    Allowable costs                                                                                                                                                                                        ProCard, Petty Cash, Taxes etc. Pam
                                                                                                                                                                                                                                                                                           Noyes is the procard administrator and
                                                                                                                                                                                                                                                                                           audits use. Frank alos audits for Dave
                                                                      A       A                                            IAD             Fermilab       FI            IA            Annual                                                                                               mostly property procard use.                 BSS



                                           135.0                                    Wide Area Network Assessment                                                                                                                                                                           Desktop audit, interview
                                                                      A       A     / IQA, FICAP, other?                  OQBP          CD/Operations     QA            IA             Once        6/7/2010                7/20/2010              N    OQBP       Complete                                                              CD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                                Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                      Page 10 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                    Assessment                      Planned     Actual   Planned Actual End         DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                      Systems                     Frequncy                                                                       Status       POC                Comments                     Org
                                                                                        Orders, Permits etc)                          D/S/C                         Method                        Start Date Start Date End Date   Date            Req    Req

                                           136.0                                    Quarterly Walkthrough                                                                                                                                                                              CD Tripartite Report in CD-doc-
                                                                                    Tripartite?                                                                                                                                                                                        3934-v1; Walkthru is quarterly. Info
                                                                                                                                                                                                                                                                                       on findings are entered in
                                                                                                                                                                                                                                                                                       ESHTRK. Summarized annual roll
                                                                                                                                                                                                                                                                                       up end of FY in CD DocDb
                                                                                                                                                                                                  3/18/2010,           3/18/2010,                                                      See ESH-doc# 44 for 2010 list
                                                                                                                                                                                                   06/17/10,            06/17/10,                                                      maintained by Rafael.
                                                          Co          A       A                                       CD,DOE,ES&H           CD            EH        IA,MA,TP          Annual                 3/23/2010                 3/23/2010    Y     ESH    On Schedule Pavnica                                            CD
                                                                                                                                                                                                   09/16/10,            09/16/10,                                                      Expect 2011 planning to begin in
                                                                                                                                                                                                   12/16/10             12/16/10                                                       Sept 2010.
                                                                                                                                                                                                                                                                                       Jed will be on Rafael's listing.
                                                                                                                                                                                                                                                                                       Pavnica considering doiing with
                                                                                                                                                                                                                                                                                       OQBP assessments


                                           137.0                                    Highly Protected Risk (HPR) /                                                                                                                                                                      Possbile consolidation with other
                                                                                    FESHM 6015                                                                                                                                                                                         mgmt or ESH walk throughs? FCC,
                                                                                                                                                                                                                                                                                       GCC, LCC. Per SSO CD has not
                                                                                                                                                                                                                                                                                       involvement. They are done by
                                                                                                                                                                                                                                                                                       security after hours. JH to check w
                                                                                                                                                                                                                                                                                       ES&H
                                                                                                                                                                                                                                                                                       Annual life safety assessment
                                                                                                                                                                                                                                                                                       FESHM 6015 (Bill James report).
                                                                                                                                                                                                                                                                                       Only FCC (occupied building) is
                                                                                                                                                                                                                                                         ESH /
                                                          C?          A       A                                            CD               CD            EH           MA             Annual       7/22/2010               7/22/2010                N            On Schedule           assessed. See http://esh-                CD
                                                                                                                                                                                                                                                         NFPA
                                                                                                                                                                                                                                                                                       docdb.fnal.gov/cgi-
                                                                                                                                                                                                                                                                                       bin/ShowDocument?docid=406.
                                                                                                                                                                                                                                                                                       Findings are in ESHTRK.
                                                                                                                                                                                                                                                                                       Not High "Prioritized" Risk. This is
                                                                                                                                                                                                                                                                                       FIRE safety focused but can vary
                                                                                                                                                                                                                                                                                       into other areas.



                                           138.0                                    Review of Generator Spill Plan                                                                                                                                                                     FCC Disel fuel containment.
                                                                                    EPA? NPA codes?                                                                                                                                                                                    HazMat Done by Joe Demattio of
                                                                                                                                                                                                                                                                                       DOE. The report available from
                                                                                                                                                                                                                                                                                       Amber Larson. Spill Plan available
                                                                       ?      A                                            CD          CD/Operations      EH           MA             Annual       4/6/2010    3/26/2010   4/10/2010                N     ESH     Complete             in CD-Doc DB. All CD generators          CD
                                                                                                                                                                                                                                                                                       are checked in one day. The walk-
                                                                                                                                                                                                                                                                                       through is done against the plan to
                                                                                                                                                                                                                                                                                       check for compliance.
                                                                                                                                                                                                                                                                                       - Part of Bill James? - JH to verify
                                           139.0                                    ISO 14001 Environmental                                                                                                                                                                            Simultanious not consolidated
                                                                                    Mgmt Systems Assessment                                                                                                                                                                            Schedule & report given to Bill
                                                                      A       A                                        NSF registrar        CD            EH          MA,TP        Semiannual      6/7/2010                6/12/2010                N     ISO    On Schedule                                                    CD
                                                                                                                                                                                                                                                                                       James & in ESH DocDb.

                                           140.0                                    OHSAS 18001 Occupational                                                                                                                                                                           Simultanious not consolidated
                                                                      A       A     Health Safety Assessment           NSF registrar        CD            EH          MA,TP        Semiannual      6/7/2010                6/12/2010                N    OHSAS On Schedule                                                      CD

                                           141.0                                    FY10 Reviews of Strategic                                                                                                                                                                          Postponed this year for early budget
                                                                                    Plans 3-5 year & Tactical Plans                                                                                                                                                                    planning. Action items kept in
                                                                                    1yr for CD                                                                                                                                                                                         password protected area:
                                                                                                                                                                                                                                                                                       https://sharepoint.fnal.gov/cd/sites/p
                                                                      A       A                                            CD               CD            ??           MA             Annual       4/1/2010                5/30/2010                N             Postponed                                                     CD
                                                                                                                                                                                                                                                                                       m/Lists/Division%20Action%20Ite
                                                                                                                                                                                                                                                                                       ms/AllItems.aspx


                                           142.0                                    FY11 Open Science Grid - OSG                                                                                                                                                                       SCIDAC - Scientific Discovery thru
                                                                                    DOE/NSF (Nat. Sci. Found.)                                                                                                                                                                         Advanced Computing.
                                                                                    Review (~Lehman)                                                                                                                                                                                   CD receives separate funds directly
                                                                              A                                         DOE,NSF             CD          Project         TP          As Needed      1/1/2011                1/30/2011                Y                                  from DOE ie: QCD-OMB300.                 CD
                                                                                                                                                                                                                                                                                       NSF is less scrutany than DOE


                                           143.0                                    FY11 ComPASS Project                                                                                                                                                                               SCIDAC - Scientific Discovery thru
                                                                                    Progress Review - DOE                                                                                                                                                                              Advanced Computing.
                                                                              A     SCIDAC only                            DOE              CD          Project        MA           As Needed        TBD                     TBD                    Y                                  CD receives separate funds directly      CD
                                                                                                                                                                                                                                                                                       from DOE ie: QCD-OMB300.
                                                                                                                                                                                                                                                                                       NSF is less scrutany than DOE
                                           144.0                                    FY10 Lattice QCD Project                                                                                                                                                                           Report not available yet
                                                                                    Progress Review                                                                                                                                                                                    (June2010). However, reports from
                                                                                                                                       Fermilab/JLab/
                                                                              A                                            DOE                          Project        MA             Annual       4/28/2010               4/30/2010                Y             Complete             previous years are available.            CD
                                                                                                                                           BNL




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                                Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                              Page 11 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End         DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                      Status    POC                 Comments                   Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date            Req    Req

                                           145.0                                    DOE Agreement Assessment                                                                                                                                                                  Hardware
                                                                                    Report (DOE/OQBP lists). /
                                                                                    Scientific Computing /
                                                                      A       A     Hardware Management                CD              CD           QA           MA             Annual       7/1/2010                7/30/2010                N    OQBP                                                              CD



                                           146.0                                    DOE Agreement Assessment                                                                                                                                                                  Network
                                                                                    Report (DOE/OQBP lists). /
                                                                                    Scientific Computing / Network
                                                                      A       A                                        CD              CD           QA           MA             Annual       7/1/2010                7/31/2010                N    OQBP                                                              CD
                                                                                    Management



                                           147.0                                    DOE Agreement Assessment                                                                                                                                                                  Software
                                                                                    Report (DOE/OQBP lists). /
                                                                                    Scientific Computing /
                                                                      A       A     Software Management                CD              CD           QA           MA             Annual       7/1/2010                8/1/2010                 N    OQBP                                                              CD



                                           148.0                                    DOE Agreement Assessment                                                                                                                                                                  MIS - not on OQBP Quarterly
                                                                                    Report (DOE/OQBP lists). -                                                                                                                                                                Assessments List
                                                                                    Management Information
                                                                      A       A     Systems (MIS) / Business           CD              CD           QA           MA             Annual       4/1/2010                4/23/2010                N    OQBP                                                              CD
                                                                                    Computing Systems


                                           149.0                                    KPMG Financial Statement                                                                                                                                                                  Primary responsibility with Finance.
                                                                                    Audit                                                                                                                                                                                     CD participates in due diligence
                                                                      A       A                                      IAD,KPMG         FI,CD         FI        IA,MA,TP          Annual       11/1/2009   11/1/2009    2/1/2010    2/1/2010    N            Complete                                                  CD
                                                                                                                                                                                                                                                                              effort only.

                                           150.0                                    ITIL/ISO2000                                                                                                                                                                              Report not yet available (June
                                                                                                                                                                                                                                                                              2010). This was done by IA for a
                                                                      A       A                                        IAD             CD           IT            TP          As Needed      1/1/2010     1/1/2010    4/1/2010    4/1/2010    N                               charge from IG office in 2010 not      CD
                                                                                                                                                                                                                                                                              by a registrar.


                                           151.0                                    IG Capital Planning                                                                                                                                                                       Information Gathering
                                                                              A                                       DOE-IG           CD         OMB53          MA           As Needed      3/1/2010     3/1/2010    4/1/2010    4/1/2010    N                               OMB53 & 300 Lattice QCD capital        CD

                                           152.0                                    Allowable costs                                                                                                                                                                           assessts from Costs Allowable to
                                                                                                                                                                                                                                                                              Changed
                                                                                                                                                                                                                                                                              Allowable Costs Performing org
                                                                                                                                                                                                                                                                              from FI to IAD and MA to IA. This
                                                                              A                                        IAD             CD           FI            IA          As Needed      4/1/2010     4/1/2010    5/1/2010                N                               matches Cindy's entry and IAD          CD
                                                                                                                                                                                                                                                                              2009 schedule. - Jed

                                           153.0                                    Placeholder for walkthroughs                                                                                                                                                              Director's Walkthrough - no records
                                                                                                                                                                                                                                                                              in CD. JH check Directorate -
                                                                                                                                                                                                                                                                              BobG.
                                                                                                                                                                                                                                                                              BakulB still to verify/describe what
                                                                                                                       CD              CD                                                                                                                                     other walkthroughs are done            CD
                                                                                                                                                                                                                                                                              frequency etc ex: Div Head,
                                                                                                                                                                                                                                                                              Deputies, Dept Heads, SSO etc


                                           154.0                                    Time & Labor Post                                                                                                                                                                         Added from IAD schedule - Jed
                                                                      A       A                                        IAD           CD, FI         FI            IA          As Needed      10/1/2009               09/31/2010                            Complete                                                  CD
                                                                                    Implementation Review
                                           155.0                                    FRA Visiting Committee for                                                                                                                                                                Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                Changes to FRA Board - Contractor
                                                                                                                                                                                                                                                                              Assurance Assessment / H13
                                                                                                                                                                                                                                                                              Clause (Formerly Peer Review) -
                                                                      A       A                                      FRA-BOD           CD         CA/QA           IA            Annual       8/1/2010                8/31/2010                N            Complete   White                                          CD
                                                                                                                                                                                                                                                                              JH



                                           156.0                                    Safeguards & Security                                                                                                                                                                     None is scheduled by DOE. BB to
                                                                                    walkthroughs DOE/ESH?                                                                                                                                                                     verify and obtain more information
                                                                                                                     DOE,ES&H          CD                                     As needed                                                                                       such as last one done frequency of     CD
                                                                                                                                                                                                                                                                              prior ones etc.




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                         Page 12 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End          DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                       Status       POC                   Comments                     Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date             Req    Req

                                           157.0                                    DOE Cyber Security assessment                                                                                                                                                                  DOE Red Team social engineering,
                                                                                                                                                                                                                                                                                   open access checks etc. Red Teams
                                                                                                                                                                                                                                                                                   are very ad hoc and may or may
                                                                                                                                                                                                                                                                                   not visit individual D/S/Cs as part
                                                                                                                                                                                                                                                                                   of the cyber-security checks. JM
                                                                                                                                                                                                                                                                                   BS to ask what kind of activity
                                                                                                                                                                                                                                                                                   happens with this. Plans,
                                                                                                                                                                                                                                                                                   Checklists, formal reports CAPs
                                                                                                                                                                                                                                                                                   etc? - If so could be an MA if
                                                                              A                                         DOE           ALL           CS          SV,TP           Annual                                                         Y                                                                             CD
                                                                                                                                                                                                                                                                                   results tracked quarterly etc -
                                                                                                                                                                                                                                                                                   Moved from AD list to CD's list -
                                                                                                                                                                                                                                                                                   JH. Affected organizations do not
                                                                                                                                                                                                                                                                                   know they were even impacted until
                                                                                                                                                                                                                                                                                   afer it is over.




                                           158.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists). /
                                                                                    Foreign Visits & Assignments
                                                                      A       A                                                                                                              10/1/2009               12/31/2009                                                                                              DIR
                                                                                    (Chrisman)


                                           159.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists). /
                                                                                    Stakeholder Communications
                                                                      A       A     (Judy Jackson)                                                                                           10/1/2009               12/31/2009                                                                                              DIR



                                           160.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists). /
                                                                                    Support Services Systems -
                                                                      A       A     Legal (Gary Leonard)                                                                                     1/1/2010                3/31/2010                                                                                               DIR



                                           161.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists). /
                                                                      A       A     Project Management Systems                                                                               1/1/2010                3/31/2010                                                                                               DIR
                                                                                    (Dean Hoffer)


                                           162.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists). /
                                                                      A       A     Workforce Planning (Young-                                                                               4/1/2010                6/30/2010                                                                                               DIR
                                                                                    Kee Kim)


                                           163.0                                    Tripartite - Public Use of                                                                                                                                                                     JH find out from Jack Cassidy if
                                                                                    Ramsey Auditorium                                                                                                                                                                              this is really a tripartite and who the
                                                                                                                                                                                                                                                                                   players are.
                                                                                                                                       Dir          EH          IA,MA                        5/10/2010                8/2/2010                 Y                         Cassidy                                             DIR




                                           164.0                                    FRA Visiting Committee for                                                                                                                                                                     Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                     Changes to FRA Board - Contractor
                                                                      A       A                                         FRA            DIR        CA/QA           IA            Annual       8/1/2010                8/31/2010                 N            Complete    Chrisman   Assurance Assessment / H13                DIR
                                                                                                                                                                                                                                                                                   Clause (Formerly Peer Review) -
                                                                                                                                                                                                                                                                                   JH
                                           165.0                                    Safeguards and security survey                                                                                                                                                     Flaherty    Req by HQ. JH to Ask JAdachi
                                                                                                                                                                                                                                                                                   about a CH assessment List for
                                                                                                                                                                                                                                                                                   Fermilab TM to verify if biennials
                                                                      A       A                                        DOE-CH        Fermilab       SS            TP           Biennial      3/9/2009     3/9/2009                3/12/2009    Y            Complete               are supposed to be semi-annuals or        ES&H
                                                                                                                                                                                                                                                                                   every other year. TM/JD to provide
                                                                                                                                                                                                                                                                                   requirements/dirvers for each
                                                                                                                                                                                                                                                                                   ES&H line item.
                                           166.0                                    Contractor assurance system                                                                                                                                                        Grossman
                                                                      A       A     (CAS) assessment / H13 Clause -     DOE          Fermilab       CA            TP           Biennial      4/14/2009   4/14/2009                4/17/2009    Y            Complete                                                         ES&H
                                                                                    FSO
                                           167.0                                    Director's triennial ESH self-                                                                                                                                                     Grossman    Different topics each time
                                                                      A       A                                       FES&HCOM       Fermilab       EH            DA           Triennial     4/23/2009   4/23/2009                4/23/2009    N    FESHM   Complete                                                         ES&H
                                                                                    assessment


63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                  Page 13 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End         DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                      Status       POC                   Comments                     Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date            Req    Req

                                           168.0                                    Tripartite - FI ES&H program                                                                                                                                                      Cassidy     Adjusted topics based on
                                                                                    / FESHM 1040.1                                                                                                                                                                                experience. Work with D/S/C
                                                                                                                                                                                                                                                                                  SSOs & SMEs.
                                                        Co-Cs         A       A                                       FI,ES&H,DOE       FI          EH        IA,MA,TP          Annual       2/1/2010    7/13/2009   4/2/2010    3/9/2010     N    FESHM   Complete                                                         ES&H
                                                                                                                                                                                                                                                                                  These are also duplicated in the
                                                                                                                                                                                                                                                                                  D/S/C lists. Consolidate in D/S/C
                                                                                                                                                                                                                                                                                  and remove redundant?
                                           169.0                                    Tripartite - Nuclear materials                                                                                                                                                    Graden      Really not a tripartite because just
                                                        Co-Cs         A       A     management                       ES&H,OQBP,DOE    ESHS        QA,SS         IA,MA          Biennial      2/1/2010    1/11/2010               1/21/2010    Y            Complete               parallel assessments on the same          ES&H
                                                                                                                                                                                                                                                                                  org.
                                           170.0                                    Energized electrical safety -                                                                                                                                                     Coll        Different topics each time
                                                                      A       A                                          DOE         Fermilab       EH            TP           Biennial      2/1/2010    2/22/2010               2/25/2010    Y            Complete                                                         ES&H
                                                                                    FSO
                                           171.0                                    DOELAP DOE Laboratory                                                                                                                                                             McGimpsey
                                                        C69 ?         A       A     Acreditation Program                 DOE          ESHS          EH            TP           Biennial      2/1/2010    2/23/2010               2/24/2010    Y            Complete                                                         ES&H
                                                                                    (personnel dosimetry)
                                           172.0                                    SPCC Spill Prevention Controls                                                                                                                                                    Larson      Table top for state IL
                                                                                    & Countermeasures plan
                                                                                                                         ES&H        Fermilab       EH            SV          Five years     2/1/2010                            2/3/2010     N     EPA    Complete                                                         ES&H
                                                                                    revision / FESHM 8031, 40
                                                                                    CFR 112
                                           173.0                                    HAD Hazard assessment                                                                                                                                                             James     Review of on-site hazards
                                                                                                                         ES&H        Fermilab       EM            SV           Triennial     2/1/2010     2/1/2010               9/1/2010     Y                                                                             ES&H
                                                                                    document                                                                                                                                                                                    considered for emergency planning
                                           174.0                                    Dosimetry program                                                                                                                                                               McGimpsey Internal assessment - Possible
                                                        C66 ?         A       A                                          ES&H         ESHS          EH           MA            Biennial      2/23/2010   2/23/2010               2/24/2010    Y            Complete                                                         ES&H
                                                                                                                                                                                                                                                                                consolidation with DOELAP?
                                           175.0                                    Main injector dam inspection /                                                                                                                                                  FESS/Kosiro Damn Permit compliance
                                                                                    Permit                                                                                                                                                                          g

                                                                                                                         FESS        Fermilab       EH            SV            Annual       3/1/2010                                         N     EPA                                                                     ES&H



                                           176.0                                    SARA Title 3 Superfund                                                                                                                                                            James       Report dealing with Hazardous
                                                                                    Amendments & Reauthorization                                                                                                                                                                  Materials TM - reconcile is it title
                                                                                                                         ES&H        Fermilab     EM,EH           SV            Annual       3/1/2010                                         N     EPA                                                                     ES&H
                                                                                    Act / FESHM 8030, 8010                                                                                                                                                                        II or 3 because TD div entered II for
                                                                                                                                                                                                                                                                                  chemicals etc
                                           177.0                                    Tornado drill                        ES&H        Fermilab       EM            SV            Annual       3/2/2010     3/2/2010                            N                       James                                                 ES&H
                                           178.0                                    Tripartite - work planning /                                                                                                                                                      Bonkalski   Rafael Coll coordinates the
                                                                                    hazard analysis / FESHM                                                                                                                                                                       scheduling
                                                                                    1040.1
                                                          Co          A       A                                      ES&H,FESS,DOE    FESS          EH        IA,MA,TP          Annual       3/15/2010   4/23/2010   4/30/2010                N    FESHM                                                                    ES&H




                                           179.0                                    Site 55 Resource Conservation                                                                                                                                                     James       On-site storage Hazardous Waste
                                                                                    and Recovery Act (RCRA) Part                                                                                                                                                                  over 90-days
                                                                                    B, / 40 CFR 247 drill
                                                                                                                         ES&H        Fermilab       EH            SV            Annual       4/1/2010                                         N     EPA    Complete                                                         ES&H




                                           180.0                                    Tripartite - ES&H review of                                                                                                                                                       McHugh      Before construction of experiments
                                                                                    current & expired experiments /                                                                                                                                                               (Keith Schuh probably knows
                                                                                    PPD_ESH_006 ES&H,                                                                                                                                                                             more)
                                                        Co-Cs         A       A                                     PPD,ES&H,DOE       PPD          EH        IA,MA,TP          Annual       4/5/2010                5/14/2010                N    FESHM                                                                    ES&H
                                                                                    Directors's Policy 004, FESHM
                                                                                    2010 and 2060 / FESHM
                                                                                    1040.1
                                           181.0                                    Tripartite - procedures for                                                                                                                                                       Ruthe
                                                                                                                      TD,ES&H,
                                                        Co-CS         A       A     machine operations / FESHM                         TD         EH,QA       IA,MA,TP          Annual       4/19/2010               6/4/2010                 N    FESHM                                                                    ES&H
                                                                                                                      OQBP,DOE
                                                                                    1040.1
                                           182.0                                    Tripartite - emergency                                                                                                                                                            Pavnica
                                                          Co          A       A     planning/computer room exits / CD,ES&H,DOE         CD           EM        IA,MA,TP          Annual       4/26/2010               6/4/2010                 N    FESHM                                                                    ES&H
                                                                                    FESHM 1040.1
                                           183.0                                    Tripartite - Emergency                                                                                                                                                            James       Combined with ESHS tripartite
                                                                                    preparedness audit (DOE 151C)                                                                                                                                                     Cassidy     emergency mgmt prgrm.
                                                                                    - Emergency Mgmt Prgm ESHS                                                                                                                                                                    Is it really a TRIpartite or just two
                                                        C79 Co        A       A     tripartite w FSO                  DOE,ES&H       Fermilab     IA,EH       IA,MA,TP        Triennial?     5/1/2010                                         Y                                   performing orgs?                          ES&H
                                                                                                                                                                                                                                                                                   Dupliacate with above? Not on
                                                                                                                                                                                                                                                                                  ES&H 2010 list published by
                                                                                                                                                                                                                                                                                  Rafael Coll
                                           184.0                                    Tripartite - Public Use of                                                                                                                                                                    JH find out from Jack Cassidy if
                                                                                    Ramsey Auditorium                                  Dir          EH          IA,MA                        5/10/2010               8/2/2010                 Y                         Cassidy   this is really a tripartite and who the   ES&H
                                                                                                                                                                                                                                                                                  players are.
                                           185.0                                    Air emissions report                 ES&H        Fermilab       EH            SV            Annual       6/1/2010                                         N     EPA               Larson      Report                                    ES&H



63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                 Page 14 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                  Systems                     Frequncy                                                                  Status        POC                   Comments                  Org
                                                                                        Orders, Permits etc)                          D/S/C                     Method                        Start Date Start Date End Date   Date      Req    Req

                                           186.0                                    Toxic release inventory                                                                                                                                                          Larson       Report

                                                                                                                            ES&H         Fermilab   EM,EH           SV            Annual       6/1/2010                                   N     EPA                                                                     ES&H


                                           187.0                                    ISO 14001 Environmental                                                                                                                                                          Coll/Mielan Simultaneus but separate audit
                                                                                    Mgmt Systems Assessment                                                                                                                                                          d           teams 2010 is Trienniel
                                                                      A       A                                          NSF registrar   Fermilab   EH,QA         MA,TP        Semiannual      6/1/2010                                   N     ISO    On Schedule                                                      ES&H
                                                                                                                                                                                                                                                                                 Recertification

                                           188.0                                    OHSAS 18001 Occupational                                                                                                                                                     Coll/Mielan Simultaneus but separate audit
                                                                                    Health Safety Assessment                                                                                                                                                     d           teams 2010 is Trienniel
                                                                      A       A                                          NSF registrar   Fermilab   EH,QA         MA,TP        Semiannual      6/1/2010                                   N    OHSAS On Schedule                                                        ES&H
                                                                                                                                                                                                                                                                             Recertification

                                           189.0                                    Occupational RAD exposure /                                                                                                                                                      Cossairt     Table top discussion. Jeff to query
                                                        C84 ?         A       A                                             ES&H         Fermilab     EH            IA           Triennial     6/1/2010                 9/1/2010          Y                                                                             ES&H
                                                                                    10 CFR 835 - table top                                                                                                                                                                        DonC
                                           190.0                                    Tripartite - release of materials                                                                                                                                                Mitchell     Consolidate with BSS tripartitie?
                                                                                    from rad areas / FESHM
                                                       C83 ? Co       A       A     1040.1                              ES&H,BSS,DOE       BSS        EH        IA,MA,TP          Annual       6/7/2010                 8/6/2010          N    FESHM                                                                    ES&H



                                           191.0                                    DOE Agreement Assessment                                                                                                                                                         Michels      Combine with RAD exposure table
                                                                                    Report (DOE/OQBP lists).                                                                                                                                                                      top? There are two DOE/OQBP
                                                                                    / 1st Q Emergency                                                                                                                                                                             ES&H assessments - 1stQ
                                                                      A       A                                             ES&H         Fermilab     EH         MA,SV            Annual       10/1/2009               12/31/2009         Y                                                                             ES&H
                                                                                    Management Systems                                                                                                                                                                            Emergency Mgmt (is this the
                                                                                                                                                                                                                                                                                  Emergency Preparedness audit
                                                                                                                                                                                                                                                                                  (DOE 151C)? & 4rhQ ES&H lab-
                                           192.0                                    DOE Agreement Assessment                                                                                                                                                         Michels
                                                                                    Report / 2nd Q Security
                                                                      A       A     Safeguards                              ES&H         Fermilab     EH         MA,SV            Annual       1/1/2010                3/31/2010          Y                                                                             ES&H


                                           193.0                                    DOE Agreement Assessment                                                                                                                                                         Michels
                                                                                    Report (DOE/OQBP lists). /
                                                                      A       A     4th Q ES&H (Lab-wide)                   ES&H         Fermilab     EH         MA,SV            Annual       7/1/2010                9/30/2010          Y                                                                             ES&H


                                           194.0                                    Tripartite - Personnel                                                                                                                                                           Anderson     AD does separate check on slings?
                                                                      A       A     qualificaton in hoisting &         ES&H,AD,DOE         AD         EH        IA,MA,TP          Annual       8/2/2010                 9/3/2010          N    FESHM                              JH to verify w DR                     ES&H
                                                                                    rigging / FESHM 1040.1
                                           195.0                                    Tripartite - contractor oversight                                                                                                                                                Bonkalski    Bonkalski considering performing
                                                                      A       A     / FESHM 1040.1                    WDRS,ES&H,DOE      WDRS         EH        IA,MA,TP          Annual       8/23/2010               9/30/2010          N    FESHM                              when OQBP does assessments.           ES&H

                                           196.0                                    Emergency Readiness                                                                                                                                                              James        Administrative - tracked by DOE
                                                                                    Assurance Plan (ERAP)                                                                                                                                                                         Not an Assessment
                                                                                                                            ES&H         Fermilab     EM            SV            Annual       9/1/2010                                   Y                                                                             ES&H



                                           197.0                                    Storm water runoff - NPDES -                                                                                                                                                     Kosirog      Storm water pollution prevention
                                                                                    National Pollution Discharge                                                                                                                                                                  inspection
                                                         C100                                                               ES&H         Fermilab     EH            SV            Annual       10/1/2010                                  N     EPA                                                                     ES&H
                                                                                    Elimination System PERMIT                                                                                                                                                                     Not organized lab-wide. JohnD to
                                                                                                                                                                                                                                                                                  follow up on this & NPDES.
                                           198.0                                    Fire drill                              ES&H         Fermilab     EM            SV            Annual       10/1/2010   10/1/2010                      N                          James        John D - is this DOE Req?             ES&H
                                           199.0                                    ESHS plan implementation                                                                                                                                                         Cassidy      Each D/S/C creates annual plan,
                                                                                    assessment                              ES&H         Fermilab     EH           MA             Annual       11/1/2010                                  N                                       ES&H Summarizes & Reports to          ES&H
                                                                                                                                                                                                                                                                                  DOE
                                           200.0                                    ESHS head walkthroughs                                                                                                                                                           Grossman     Each ESH building > freq than
                                                         C96?                                                               ES&H          ESHS        EH           MA             Annual       12/1/2010                                  N                                                                             ES&H
                                                                                     - approx 5-10 / yr                                                                                                                                                                           HPR. JH - TM how Annual if 5-
                                           201.0                                    HCTT Hazard Control                                                                                                                                                              Thompson     10/yr permit
                                                                                                                                                                                                                                                                                  Not for
                                                                                                                            ES&H          ESHS        EH           MA             Annual       12/1/2010                                  N                                                                             ES&H
                                                                                    Technical Team facility self-
                                           202.0                                    inspections
                                                                                    EOC drill Emergency                                                                                                                                                              James        Table top unless an actual event
                                                                                    Operations Center                                                                                                                                                                             takes place. Clumsier than real
                                                                                                                            ES&H         Fermilab     EM            SV            Annual       12/1/2010   12/1/2010                      Y                                       event because all participants        ES&H
                                                                                                                                                                                                                                                                                  checking each other rather than
                                                                                                                                                                                                                                                                                  simply executing
                                           203.0                                    Resirator program review                                                                                                                                                         Baird        Surveillance/inspection by
                                                                                                                            ES&H         Fermilab     EH            SV           Biennial      12/1/2010                                  N    OSHA                                                                     ES&H
                                                                                                                                                                                                                                                                                  observing the use of personal
                                           204.0                                    Highly-Protected Risk (HPR)                                                                                                                                                      Priest/James protective equipment PPE -
                                                                                                                                                                                                                                                                                  Factory Mutual Standard is
                                                         C92?                       inspections FESHM 6015                  ES&H         Fermilab     EH            SV           Monthly       Frequent                                   N                                       followed                              ES&H
                                                                                                                                                                                                                                                                                  <freq than ES&HS Head walk
                                           205.0                                    Highly-Protected Risk (HPR)                                                                                                                                                                   throughs JH TM determine if add a
                                                                                    inspections FESHM 6015                  ES&H         Fermilab     EH            SV           Monthly                                                                                                                                ES&H




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                            Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                           Page 15 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End         DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                      Status          POC                Comments                Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date            Req    Req

                                           206.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           207.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           208.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           209.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           210.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           211.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           212.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015
                                                                                                                      ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H


                                           213.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           214.0                                    AED Automatice External                                                                                                                                                           Gibbs       Inspection
                                                                                    Defibrillator inspection          ES&H           Fermilab       EH            SV           Monthly       Frequent                                         N                                                                        ES&H

                                           215.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015
                                                                                                                      ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H


                                           216.0                                    Highly-Protected Risk (HPR)
                                                                                    inspections FESHM 6015            ES&H           Fermilab       EH            SV           Monthly                                                                                                                                 ES&H

                                           217.0                                    Sitewide Emergency Warning                                                                                                                                                        James       James
                                                                                                                      ES&H           Fermilab       EM            SV           Monthly       Frequent                                         N                                                                        ES&H
                                                                                    System (SEWS) test
                                           218.0                                    Confined space permit and                                                                                                                                                         D/S         D/S/Cs
                                                                                                                     Fermilab        D/S/Cs         EH            SV           Monthly       Frequent                                         N    OSHA                                                                ES&H
                                                                                    classification                                                                                                                                                                                Pelletron found not on list
                                           219.0                                    Sitewide Storm water runoff -                                                                                                                                                     Kosirog     JohnD to follow up on this &
                                                         C89                        NPDES - National Pollution        ES&H           Fermilab       EH            SV           Monthly       Frequent                                         N    EPA                            NPDES #89                            ES&H
                                                                                    Discharge Elimination System
                                           220.0      duplicate if                  HCTT inspections                                                                                                                                                                  Arnold      Report of 93 - identical to 93?
                                                                                                                      ES&H            ESHS          EH           MA           Quarterly      Frequent                7/1/2010                 N                                                                        ES&H
                                                         #93?                                                                                                                                                                                                                     JohnD to verify
                                           221.0                                    Quarterly CAIRS report reviews                                                                                                                                                    Michels     Done w John Scott FSO who
                                                                                    Computerized Accident Incident                                                                                                                                                                reports results to HQ. This is not
                                                                                    Reporting System - FSO            DOE            Fermilab       EH            SV          Quarterly      Frequent                7/1/2010                 N                                   an assessment it is a Work Process   ES&H


                                           222.0                                    CAIRS/Incident trending                                                                                                                                                           James       Formal Requirement

                                                                                                                      ES&H           Fermilab       EH            SV          Quarterly      Frequent                7/2/2010                 Y                                                                        ES&H


                                           223.0                                    DOE OAP Review - IH                                                                                                                                                               Baird       JH - to SR what is green coding?
                                                                      A       A     Exposure Monitoring Program -     DOE            Fermilab       EH            TP            Ad-hoc      Non-repeat 12/2/2009                 12/4/2009    Y            Complete               Date format fixed.                   ES&H
                                                                                    FSO
                                           224.0                                    Environmentally Preferred                                                                                                                                                         Mieland     Mieland
                                                                      A       A                                       DOE            Fermilab       EH            TP            Ad-hoc      Non-repeat 9/23/2009                 9/25/2009    Y            Complete                                                    ES&H
                                                                                    Purchasing Audit - FSO
                                           225.0                                    Nuclear Facility Hazard                                                                                                                                                           Graden      Graden
                                                                                    Categorization Review
                                                                      A       A                                      DOE-SC          Fermilab       SS            TP            Ad-hoc      Non-repeat    9/1/2009               9/1/2009     Y            Complete                                                    ES&H


                                           226.0                                    SPCC plan implementation -                                                                                                                                                        Mieland     JohnD verify if complete
                                                                                    FSO
                                                                      A       A                                       DOE            Fermilab       EH           MA              Once       Non-repeat 4/27/2010     4/29/2010                N    EPA                                                                 ES&H




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                            Page 16 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org               Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                 Systems                     Frequncy                                                                 Status         POC                  Comments                 Org
                                                                                        Orders, Permits etc)                          D/S/C                    Method                        Start Date Start Date End Date   Date      Req    Req

                                           227.0                                    Tripartite CAS effectiveness                                                                                                                                                    Coll        JohnD verify if complete & who
                                                                                    review - done as tripartite                                                                                                                                                                 participated in this tripartite
                                                                                                                                                                                                                                                                                (ESH/DOE/??). Only ESH shown
                                                                      A       A                                            ES&H         Fermilab     CA            SV             Once       Non-repeat    3/9/2010   5/15/2010          Y                                                                           ES&H




                                           228.0                                    FRA Visiting Committee for                                                                                                                                                                Inserted as placeholder . For FY11-
                                                                      A       A     Adminstration & Operations           FRA-BOD        ES&H       CA/QA           IA            Annual       8/1/2010                8/31/2010          N             Complete      Grossman Changes to FRA Board - Contractor      ES&H
                                                                                                                                                                                                                                                                              Assurance Assessment / H13
                                                                                                                                                                                                                                                                              Clause (Formerly Peer Review) -
                                           229.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists).
                                                                                    Infrastructure - Routine
                                                                      A       A     maintenance Quarterly Self-            FESS          FESS        CA           MA             Annual       Quarterly    Ongoing                       Y                                                                           FESS
                                                                                    assessment


                                           230.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists).
                                                                                    Infrastructure - Energy
                                                                      A       A     Conservation Quarterly Self-           FESS          FESS        CA           MA             Annual       Quarterly    Ongoing                       Y                                                                           FESS
                                                                                    assessment



                                           231.0                                    KPMG Financial Statement                                                                                                                                                                    KPMG for Cindy Conger CFO.
                                                                                    Audit & Special Process Spares                                                                                                                                                              Alicia Filak - Internal audit
                                                                                    (SPS) Inventory                                                                                                                                                                             department (IAD) is tasked with
                                                                      A       A                                        IAD,KPMG,BSS       AD         FI        IA,MA,TP          Annual                                                  Y    Fermi                             assessing special process spares     FESS
                                                                                                                                                                                                                                                                                inventory annually per Alicia.
                                                                                                                                                                                                                                                                                Different organizations selected
                                                                                                                                                                                                                                                                                annually but TD . AD & FESS for
                                           232.0                                    DOE Facility Information                                                                                                                                                                    SPS (per accounting)..
                                                                                                                                                                                                                                                                                OECM=Office of Engineering &
                                                                                    Management system (FIMS)                                                                                                                                                                    Construction Mgmt.
                                                                              A                                           DOE-CH         FESS        CA            TP            Annual       4/7/2010     4/8/2010                      Y                                                                           FESS
                                                                                    data validation by CH and                                                                                                                                                                   Different activities each year
                                                                                    OECM incl. Condition                                                                                                                                                                        Documents are assessed via review
                                           233.0                                    Land management ecological                                                                                                                                                                  CH conducts for FSO - Ecological
                                                                                    review by CH for FSO                                                                                                                                                                        Operations (versus Physical
                                                                              A                                           DOE-CH         FESS        CA            TP             Once        1/1/2009     1/1/2009                      Y                                      Buildings).                          FESS


                                           234.0                                    Environmental management
                                                                                    (EMP) review (DOE O 430.2B,
                                                                              A                                           DOE-CH         FESS        EH            TP             Once        4/21/2009   4/22/2009                      Y                                                                           FESS
                                                                                    O 450.1) by CH for FSO

                                           235.0                                    WH sustainability review by                                                                                                                                                                 Corrective Action was implemented
                                                                                    Nalco corporation (Filter Study)       FESS          FESS        EH            SV             Once        6/30/1905   6/30/1905                      N                                      HVAC                                 FESS

                                           236.0                                    Renewable energy opportunities                                                                                                                                                              Report generated to support
                                                                                                                           FESS          FESS        EH            SV             Once        11/1/2008   11/6/2008                      N                                                                           FESS
                                                                                    by NREL                                                                                                                                                                                     Executable Plan for 430.2B
                                           237.0                                    WH Annual Fire Drill                   FESS          FESS        EM           MA             Annual       10/1/2010   10/1/2010                      Y                                                                           FESS
                                           238.0                                    WH Annual Tornado Drill                FESS          FESS        EM           MA             Annual        3/1/2010    3/1/2010                      Y                                                                           FESS
                                           239.0                                    Tripartite Assessment (Topic                                                                                                                                                    Bonkalski   Rafael Coll coordinates
                                                                                    varies)                                                                                                                                                                                     Maintenance Work Planning /
                                                                      A       A                                        ES&H,FESS,DOE     FESS      QA,EH       IA,MA,TP        Semiannual     4/23/2010   4/23/2010   4/30/2010          Y    FESHM                                                                  FESS
                                                                                                                                                                                                                                                                                Radiological Planning/Construction
                                                                                                                                                                                                                                                                                04/10
                                           240.0                      A       A     QA Time & Materials T&M                OQBP          FESS        IA            IA             Once        11/1/2009   11/1/2009                      N                                                                           FESS
                                           241.0                                    Mission Readiness Peer Review

                                                                      A       A                                         OTHER LABS       FNAL        CA          MA,TP                          40725      7/1/2011                      Y                                                                           FESS


                                           242.0                                    ISO 14001 Environmental                                                                                                                                                                     Was one line item before split.
                                                                      A       A     Mgmt Systems Assessment             NSF registrar    FESS        EH          MA,TP         Semiannual     6/10/2010   6/10/2010                      N     ISO    On Schedule               Simultaneous by NSF                  FESS

                                           243.0                                    OHSAS 18001 Occupational                                                                                                                                                                    Was one line item before split.
                                                                      A       A                                         NSF registrar    FESS        EH          MA,TP         Semiannual                                                N    OHSAS On Schedule                                                      FESS
                                                                                    Health Safety Assessment                                                                                                                                                                    Simultaneous by NSF
                                           244.0                                    DOE H13 Contractor Assurance
                                                                                    Audit
                                                                      A       A                                           DOE-CH         FESS        CA            TP        As Requested       2012?       2012?                        Y                                                                           FESS




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                         Page 17 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org               Assessment                      Planned     Actual   Planned Actual End          DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                      Frequncy                                                                        Status        POC                   Comments                    Org
                                                                                        Orders, Permits etc)                          D/S/C                    Method                        Start Date Start Date End Date   Date             Req    Req

                                           245.0                                    Review Radiation Control                                                                                                                                                                           AD & ES&H Review proposed
                                                                                    Manual Procedures for                                                                                                                                                                              designs with FESS who has the
                                                                                    Shielding Assessments                                                                                                                                                                              drawings re shielding
                                                                                                                                                                                                                                                                                       =Work Process
                                                                                                                      FNAL            FNAL          EH            MA              Once        2/10/2010    3/1/2010                             N                                                                              FESS




                                           246.0                                    Monthly (Du Pont method)                                                                                                                                                                           Primarily in Services group.
                                                                                    safety audits                                                                                                                                                                                      Tracked & trended by dept mgr.
                                                                                                                                                                                                                                                                                       Could be summarized Quarterly,
                                                                                                                                                                                                                                                                                       semiannual or other using the new
                                                                                                                      FESS            FESS          EH             SV           Monthly        Monthly     Ongoing                              N                                                                              FESS
                                                                                                                                                                                                                                                                                       MA form. Provides evidence of
                                                                                                                                                                                                                                                                                       assessment activities that DOE &
                                                                                                                                                                                                                                                                                       others outside FESS are not aware
                                                                                                                                                                                                                                                                                       of.
                                           247.0                                    HPR inspections                                                                                                                                                                                    Facility specific - could consolidate
                                                                                                                                                                                             Ongoing as                                                                                with DOE Safety Audit
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   Added place holders to enumerate
                                                                                                                                                                                                                                                                                       buildings - JH
                                           248.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           249.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           250.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           251.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           252.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           253.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           254.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           255.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           256.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           257.0                                    HPR inspections                                                                                          Ongoing as                                                                                Facility specific - could consolidate
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed                                                                                   with DOE Safety Audit
                                           258.0                                    HPR inspections                                                                                                                                                                                    Facility specific - could consolidate
                                                                                                                                                                                             Ongoing as                                                                                with DOE Safety Audit
                                                                                                                      ES&H            FESS          EH            MA            Monthly                                                         N                                                                              FESS
                                                                                                                                                                                              needed

                                           259.0                                    Project Engineers Construction                                                                                                                                                                     Mgmt by walking around
                                                                                    Site Walk-throughs                 FESS           FESS          QA             SV            Various       ad hoc                                           N                                      (MBWA). Informal. Issues tracked        FESS
                                                                                                                                                                                                                                                                                       informally. No desire to formalize
                                           260.0                                    Major Process As-Is
                                                                      A       A     Assessments                        FESS           FESS          QA            MA              Once        1/1/2010    4/30/2010                             N                                                                              FESS

                                           261.0                                    DOE Safety Audit                                                                                                                                                                                   Are these weekly or monthly?
                                                                                                                                                                                                                                                                                       Could consolidate with HPR
                                                                                                                                                                                                                                                                                       inspections and any local Dept
                                                                      A       A                                      FESS,DOE         FESS          EH           IA,MA      weekly/monthly                                                      Y                                      Head EH inspections / walk              FESS
                                                                                                                                                                                                                                                                                       throughs. This item added to the
                                                                                                                                                                                                                                                                                       list duirng 05/24/2010 meeting JJC,
                                                                                                                                                                                                                                                                                       JH, RW
                                           262.0                                    FRA Visiting Committee for                                                                                                                                                                         Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                         Changes to FRA Board - Contractor
                                                                      A       A                                      FRA-BOD          FESS        CA/QA            IA            Annual       8/1/2010                8/31/2010                 N            Complete      Ortgiesen   Assurance Assessment / H13              FESS
                                                                                                                                                                                                                                                                                       Clause (Formerly Peer Review) -
                                           263.0                                    FY09 Allowable Cost Audit                                                                                                                                                                          JH
                                                                                                                                  FI, BSS, FRA    Fin, Bus
                                                                      A       A                                        IAD                                         IA            Annual                   4/14/2010                8/30/2010   Y             Complete      C. Conger                                            FI
                                                                                                                                       Corp         Ops

                                           264.0                                    FY09 FRA Financial Statement                                                                                                                                                                       FRA CFO B. Stauss oversees audit
                                                                                    Audit                                                         Fin, Bus                                                                                                                             for FRA, LLC
                                                                      A       A                                       KPMG             Lab                         TP            Annual                    9/1/2010                1/22/2010    N    LLC     Complete      C. Conger                                            FI
                                                                                                                                                    Ops

                                           265.0                                    FY09 FRA A-133 (Grants)                                                                                                                                                                            FRA CFO B. Stauss oversees audit
                                                                      A       A                                       KPMG             FI           Fin            TP            Annual                    9/1/2010                1/22/2010    N    LLC     Complete      C. Conger                                            FI
                                                                                    Audit                                                                                                                                                                                              for FRA, LLC
                                           266.0                                    CY09 401a Benefit Plan Audit                                  Fin, Bus                                                                                                                             DOL=Dept of Labor
                                                                      A       A                                       KPMG          WDRS, FI                       TP            Annual                    7/1/2010   10/15/2010                N    DOL     In Progress   M. Todd                                              FI
                                                                                                                                                    Ops
63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                   Page 18 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org               Assessment                      Planned     Actual   Planned Actual End            DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                      Frequncy                                                                          Status        POC                       Comments                      Org
                                                                                        Orders, Permits etc)                          D/S/C                    Method                        Start Date Start Date End Date   Date               Req    Req

                                           267.0                                    CY09 403b Benefit Plan Audit                                                                                                                                                                           New requirement for 2009 forward

                                                                                                                                                  Fin, Bus
                                                                      A       A                                        KPMG         WDRS, FI                       TP            Annual                    7/1/2010    10/15/2010                 N    DOL     In Progress    M. Todd                                                  FI
                                                                                                                                                    Ops


                                           268.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists).
                                                                      A       A     FI/Accounting                        FI       FI/Accounting     Fin           MA             Annual                    1/5/2010                 1/29/2010     Y            Complete      M Rhoades                                                 FI


                                           269.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists).
                                                                      A       A     FI/Budget                            FI         FI/Budget       Fin           MA             Annual                    1/5/2010                 1/29/2010     Y            Complete      C. Trimby                                                 FI


                                           270.0                                    OMB A-123 Management
                                                                                    Assessment of Internal Controls                               Fin, Bus
                                                                      A       A                                        IAD,FI          Lab                       IA,MA           Annual                    2/1/2010                 8/10/2010     Y            Complete      M. Rhoades                                                FI
                                                                                    Over Financial Reporting                                        Ops

                                           271.0                                    Tripartite Assessment - FESHM
                                                                                    1040.1                                          ES&H and                                                                                                                                 C. Conger,
                                                                      A       A                                          FI                        ES&H        IA,MA,TP          Annual                    2/1/2010                  4/6/2010     N    ES&H    Complete                                                                FI
                                                                                                                                      DOE                                                                                                                                    G. Mitchell

                                           272.0                                    Management Walk-through for                                                                                                                                                                          Is this the same as ES&H item 125
                                                                                                                                                                                                          11/12/2009                11/12/2009
                                                                                    ES&H - FESHM 1040.1                                                                                                                                                                                  Tripartite? Is DOE, ES&H & FI
                                                                                                                                                                                                           2/26/2010                 2/26/2010                               C. Conger,
                                                                      A       A                                          FI            FI           EH            MA           Quarterly                                                          N            Complete                  conducting? JH ask Cindy and or               FI
                                                                                                                                                                                                           5/13/2010                 5/13/2010                               G. Mitchell
                                                                                                                                                                                                                                                                                         Greg
                                                                                                                                                                                                           8/13/2010                 8/13/2010
                                           273.0                                    DOE PEMP Assessment                                                                                                                                                                                Mid-year presentation complete; no
                                                                                                                                                                                                                                                                                       due date yet for year-end
                                                                                                                                                                                                                                    5/24/2010
                                                                      A       A                                          FI            FI           Fin           MA          Semiannual                                                          Y              Partial     C. Conger assessment                                      FI
                                                                                                                                                                                                                                    and TBD


                                           274.0                                    FRA Visiting Committee for                                                                                                                                                                         Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                         Changes to FRA Board - Contractor
                                                                                                                                                                                                                                                                                       Assurance Assessment / H13
                                                                      A       A                                        FRA             FI         CA/QA/FI         IA            Annual                    8/2/2010                  8/4/2010     N            Complete      C. Conger Clause (Formerly Peer Review) -                 FI
                                                                                                                                                                                                                                                                                       JH

                                           275.0                                    Review of Banking Agreement                                                                                           04/01/2010                04.30/2010                                          Required by Accounting Handbook
                                                                                                                                                                                                          07/01/2010                07/31/2010                                          (DOE Order)
                                                                      A       A                                          FI            FI           Fin           MA           Quarterly                                                          Y              Partial     M. Rhoades Submitted in month following                   FI
                                                                                                                                                                                                          10/01/2010                10/31/2010
                                                                                                                                                                                                          01/01/2011                01/31/2011                                          calendar quarter end
                                                                                                                                                                                                                                                                                        Inserted dates accordingly - JH
                                           276.0                                    DOE Recovery Audit Program
                                                                      A       A                                          FI            FI           Fin           MA             Annual                   4/23/2010                 7/19/2010     Y            Complete      M. Rhoades                                                FI

                                           277.0                                    Bienniel Review of Prices                                                                                                                                                                              Despite the name, we're asked to
                                                                      A       A                                          FI            FI           Fin           MA             Annual                   10/1/2009                 11/30/2009    Y            Complete      M. Rhoades                                                FI
                                                                                    Charged                                                                                                                                                                                                review annually.
                                           278.0                                    Time & Labor Post                                                                                                                                                                                      Added from IAD schedule - Jed
                                                                                    Implementation Review
                                                                      A       A                                         IAD          FI, CD          FI            IA          As Needed      10/1/2009                09/31/2010                              Complete                                                                FI


                                           279.0                                    FY12 Budget Validation                                                                                                                                                                             The FY11 Budget Validation was
                                                                                                                                                                                                                                                                                       not performed. Trying to find out if
                                                                      A       A                                        DOE             FI           Fin            TP            Annual       8/1/2010                  8/1/2010                  Y            Not Started   C. Trimby this is still a DOE requirement.                FI



                                           280.0                                    DOE Review of CMS                                                                                                                                                                                      TBD - Lines of Inquiry not known
                                                                      A       A                                        DOE             PPD         Project       IA,MA            Once        1/27/2010                                                                                                                                PPD
                                                                                    Operations
                                           281.0                                    Director's Review of MINERvA
                                                                                    DOE CD-4 ESAAB                      DIR            PPD                         DA             Once        4/1/2010     4/1/2010     4/2/2010     4/2/2010                                                                                          PPD

                                           282.0                                    MINERvA DOE CD-4 ESAAB                                                                                                                                                                                 JH, KS to define use of the term
                                                                      A       A                                        DOE             PPD         Project         TP                         6/15/2010   5/12/2010    6/17/2010    5/14/2010                                              "Project" as system assessed.               PPD
                                                                                    Lehman
                                           283.0                                    DOE/NSF Joint Oversight                                                                                                                                                                                Keith - Jed to fill in the blanks for all
                                                                                    Group (JOG) Review of DES                                                                                                                                                                              added assessments
                                                                                    Dark Energy Survey
                                                                      A       A                                       DOE,NSF          PPD         Project       IA,MA                        6/22/2010                6/23/2010                                                                                                       PPD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                          Page 19 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End         DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                       Status        POC                  Comments                       Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date            Req    Req

                                           284.0                                    Review of the Electron                                                                                                                                                                        JH check with Michelle for any
                                                                                    Accelerator-Based Research                                                                                                                                                                    information             KS to determine
                                                                                    Programs at SLAC, LBNL and                         PPD                                                   6/22/2010               6/23/2010                                                    if this is foraml or not. What if there is   PPD
                                                                                    FNAL, Germantown.                                                                                                                                                                             a lot of work, & output but it is not
                                                                                                                                                                                                                                                                                  Project based?
                                           285.0                                    FSO Greenhouse Gas Document                                                                                                                                                                   JH part of ES&H report? Does it
                                                                                                                          DOE          PPD                        TP                         7/15/2010                                                                            affect all organizatons?                     PPD
                                                                                    Review
                                           286.0                                    DOE Review of MAP (Muon                                                                                                                                                                       JH to compare to AD & TD
                                                                                                                          DOE          PPD                        TP                         8/24/2010                                                                                                                         PPD
                                                                                    Accelerator Program)
                                           287.0                                    (Tentative) DOE HEP Site Visit                                                                                                                                                                Tentative Is this just a visit ? KS

                                                                                                                          DOE                                     TP                         8/23/2010               8/25/2010                                                                                                 PPD


                                           288.0                                    Fork Lift Training for required                                                                                                                                                               Every group using a Fork Lift.
                                                                                    content / FESHM 5023                                                                                                                                                                          PPD Policy interanl QA program. KS
                                                                      A       A                                           PPD          PPD        EH,QA          MA              Once        2/1/2010     2/1/2010   2/1/2010    2/1/2010     N     N       Complete              find the policy #. Driven by concerns,       PPD
                                                                                                                                                                                                                                                                                  CAPA etc
                                           289.0                                    Director's CD-1 Review of                                                                                                                                                                     Insert & renumber
                                                                                    LBNE - Long Baseline Neutrino                                                                                                                                                                 JH to verify if AD & TD also.
                                                                      A       A                                           DIR          PPD                        DA                                                                                                                                                           PPD
                                                                                    Experiment

                                           290.0                                    DOE CD-1 Review of LBNE -                                                                                                                                                                     Insert & renumber
                                                                                    Long Baseline Neutrino                                                                                                                                                                        JH to verify if AD & TD also.
                                                                      A       A     Experiment                            DOE          PPD                        TP                         12/7/2010               12/9/2010                                                                                                 PPD


                                           291.0                                    FSO Chemical Safety Review –                                                                                                                                                                  Jh - part of lab-wide ES&H
                                                                                    Hazard Communication/Lab
                                                                                    Standard Assessment
                                                                      A       A                                           DOE          PPD          EH            TP                         2/28/2011                                                                                                                         PPD



                                           292.0                                    Tripartite - ES&H review of                                                                                                                                                          McHugh
                                                        Co-Cs         A       A     current & expired experiments /   PPD,ES&H,DOE     PPD          EH        IA,MA,TP          Annual       4/5/2010     4/5/2010   5/14/2010   5/13/2010    N    FESHM    Complete                                                           PPD
                                                                                    PPD_ESH_006 ES&H,
                                           293.0                                    Directors CD-1 Review of
                                                                                                                          DIR          PPD        Project        MA                                                                           N                                                                                PPD
                                                                                    LBNE / DOE 413.3
                                           294.0                                    DOE CD-1 Review of LBNE /
                                                                                    DOE 413.3
                                                                      A       A                                           DOE          PPD        Project       IA,MA                        12/7/2010               12/9/2010                Y                                                                                PPD


                                           295.0                                    FSO Chemical Safety Review –
                                                                                    Hazard Communication/Lab
                                                                                    Standard Assessment                   DOE          PPD          EH            TP                         2/28/2011                                                                                                                         PPD


                                           296.0                                    Director's Progress Review of
                                                                                    NOvA pre CD-4 progress                DIR          PPD        Project        MA              Once        8/4/2010                8/5/2010                 N                                                                                PPD
                                                                                    review
                                           297.0                                    DOE Progress Review of NOvA
                                                                                    pre CD-4 progress review              DOE                     Project         TP                         8/31/2010               9/2/2010                                                                                                  PPD

                                           298.0                                    ES&H Training classes for                                                                                                                                                                     Internal PPD evaluation of training
                                                                                    required content / FESHM                                                                                                                                                                      program for cranes, competence
                                                                              A                                           PPD          PPD        EH,QA          MA              Once        3/1/2010     3/1/2010   3/1/2010    3/4/2010     N     N      On Schedule                                                         PPD


                                           299.0                                    DOE Review of Non-
                                                                                    Accelerator Research HEP
                                                                                                                          DOE                                     TP                         9/22/2010               10/1/2010                                                                                                 PPD
                                                                                    driver from Dennis Kovar's
                                                                                    Office. Mostly astrophysics
                                           300.0                                    D0 Operations                                                                                                                                                                                 PPD mechanical for D0 - 3 months log
                                                                                                                                                                                                                                                                                  book accuracy
                                                                              A                                           PPD         PPD/D0        QA           MA              Once        6/1/2010    5/15/2010   6/1/2010    6/1/2010     N     N       Replaced                                                           PPD


                                           301.0                                    Admin Document Control                                                                                                                                                                        What is being done - compliance.
                                                                              A                                           PPD        PPD/Admin      QA           MA              Once        10/1/2010               10/1/2010                N     N       Removed               Status says removed. Was this                PPD
                                                                                                                                                                                                                                                                                  removed or cancelled?
                                           302.0                                    Tripartite - ES&H review of                                                                                                                                                          McHugh   Before construction of experiments
                                                        Co-Cs         A       A     current & expired experiments     PPD,ES&H,DOE     PPD          EH        IA,MA,TP          Annual       4/5/2010                5/14/2010                N    FESHM    Complete              (Keith Schuh probably knows                  PPD
                                                                                                                                                                                                                                                                                  more).
                                           303.0                                    Director's Review of Project X        DIR          PPD        Project         DA                         9/20/2010               9/24/2010                N                                                                                PPD
                                                                                    initial configuration



63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                   Page 20 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org                 Assessment                      Planned     Actual   Planned Actual End         DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                   Systems                     Frequncy                                                                       Status      POC                 Comments                   Org
                                                                                        Orders, Permits etc)                          D/S/C                      Method                        Start Date Start Date End Date   Date            Req    Req

                                           304.0                                    Test Beam scientific output                                                                                                                                                                   Output / Reports



                                                                              A                                          PPD             PPD           QA           MA              Once        12/1/2010               12/1/2010                N      N                                                                  PPD




                                           305.0                                    DOE Agreement Assessment                                                                                                                                                                      3rd Q Annually
                                                                                    Report (DOE/OQBP lists).
                                                                                    Programmatic Operations &
                                                                                    Maintenance - CDF Detector
                                                                      A       A                                          PPD             PPD           QA           MA            Annually      4/1/2010                7/31/2010                Y                                                                         PPD
                                                                                    Operations & Maintenance



                                           306.0                                    DOE Agreement Assessment                                                                                                                                                                      3rd Q Annually
                                                                                    Report (DOE/OQBP lists).
                                                                                    Programmatic Operations &
                                                                      A       A     Maintenance - D0 Detector            PPD             PPD           QA           MA            Annually      4/1/2010                7/31/2010                Y                                                                         PPD
                                                                                    Operations & Maintenance



                                           307.0                                    DOE Agreement Assessment                                                                                                                                                                      3rd Q Annually
                                                                                    Report (DOE/OQBP lists).
                                                                                    Programmatic Operations &
                                                                      A       A     Maintenance - MiniBooNE              PPD             PPD           QA           MA            Annually      4/1/2010                7/31/2010                Y                                                                         PPD
                                                                                    Operations


                                           308.0                                    DOE Agreement Assessment                                                                                                                                                                      3rd Q Annually
                                                                                    Report (DOE/OQBP lists).
                                                                                    Programmatic Operations &
                                                                      A       A     Maintenance - MINOS                  PPD             PPD           QA           MA            Annually      4/1/2010                7/31/2010                Y                                                                         PPD
                                                                                    Operations & Maintenance


                                           309.0                                    Director's NOvA CD3 Review
                                                                                                                         DIR             PPD         Project         DA             Once                                                         N             Complete                                                    PPD

                                           310.0                                    DOE Lehman NOvA CD3                                                                                                                                                                           KS - why less Director's and Lehman
                                                                      A       A                                          DOE             PPD         Project       IA,MA            Once        1/28/2010   1/28/2010   1/28/2010   1/28/2010    Y              Complete          reviews compared to the TD / AD lists?   PPD
                                                                                    Review
                                           311.0                                    Director's CD1 Review of
                                                                                    MicroBooNE                           DIR             PPD         Project         DA             Once                                                         N              Complete                                                   PPD

                                           312.0                                    DOE CD1 Review of
                                                                      A       A                                         DOE              PPD         Project       IA,MA            Once        3/2/2010     2/2/2010   3/5/2010    3/5/2010     Y              Complete                                                   PPD
                                                                                    MicroBooNE
                                           313.0                                    DOE Review of Muon
                                                                                    Accelertor Program MAP
                                                                      A       A                                         DOE              PPD         Project       IA,MA            Once        8/24/2010               8/26/2010                Y                                                                         PPD


                                           314.0                                    ISO 14001 Environmental                                                                                                                                                                       Simultaneus but separate audit
                                                                      A       A     Mgmt Systems Assessment          NSF registrar     Fermilab      EH,QA         MA,TP        Semiannual      6/1/2010                                         N     ISO    On Schedule         teams 2010 is Trienniel                  PPD
                                                                                                                                                                                                                                                                                  Recertification
                                           315.0                                    OHSAS 18001 Occupational                                                                                                                                                                      Simultaneus but separate audit
                                                                                    Health Safety Assessment                                                                                                                                                                      teams 2010 is Trienniel
                                                                      A       A                                      NSF registrar     Fermilab      EH,QA         MA,TP        Semiannual      6/1/2010                                         N    OHSAS On Schedule           Recertification                          PPD


                                           316.0                                    D-Zero complex (includes                                                                                                                                                                      Walkthroughs
                                                                                    assembly building, portakamps,    DOE,PPD           PPD/D0         EH           MA              Once        1/12/2010   1/12/2010   1/12/2010   1/12/2010    Y     EH      Complete                                                    PPD
                                                                                    office building and C4 pump
                                                                                    house)                                                                                                                                                                                        DOE, PPD, Bldg Mgr
                                           317.0                                    Village Labs 7 & 8 (w/
                                                                                    associated houses & 31/33                          PPD/Tech
                                                                                    Blackhawk)                        DOE,PPD                          EH           MA              Once        2/23/2010   2/23/2010   2/23/2010   2/23/2010    Y     EH      Complete                                                    PPD
                                                                                                                                        Center


                                           318.0                                    Labs E, F, G, BEG Connection                                                                                                                                                                  DOE, PPD, Bldg Mgr
                                                                                                                                     PPD/Mech. And
                                                                                                                      DOE,PPD                          EH           MA              Once        3/16/2010   3/16/2010   3/16/2010   3/16/2010    Y     EH      Complete                                                    PPD
                                                                                                                                       Tech Center

                                           319.0                                    CDF complex (includes                                                                                                                                                                         DOE, PPD, Bldg Mgr
                                                                                    assembly building, portakamps,
                                                                                    and office building)              DOE,PPD          PPD/CDF         EH           MA              Once        4/20/2010   4/20/2010   4/20/2010   4/20/2010    Y     EH       Complete                                                   PPD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                             Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                            Page 21 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End          DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                      Status       POC                      Comments                    Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date             Req    Req

                                           320.0                                    MINOS, MiniBooNE, Main                                                                                                                                                                           DOE, PPD, Bldg Mgr
                                                                                    Ring Gazebo                     DOE,PPD       PPD/NUTRINO       EH           MA              Once        5/18/2010   5/18/2010   5/18/2010    5/18/2010    Y     EH                                                                       PPD

                                           321.0                                    KTeV, HIL, White Barns,                                                                                                                                                                          DOE, PPD, Bldg Mgr
                                                                                    Training Center                 DOE,PPD            PPD          EH           MA              Once        6/15/2010   6/15/2010   6/15/2010    6/15/2010    Y     EH                                                                       PPD

                                           322.0                                    PB7, PC4, PAB, PPB, T&M                                                                                                                                                                          DOE, PPD, Bldg Mgr
                                                                                                                    DOE,PPD            PPD          EH           MA              Once        7/27/2010               7/27/2010                 Y     EH                                                                       PPD
                                                                                    Shop
                                           323.0                                    Labs A, B, C, D                                 PPD/Tech                                                                                                                                         DOE, PPD, Bldg Mgr
                                                                                                                    DOE,PPD                         EH           MA              Once        8/24/2010               8/24/2010                 Y     EH                                                                       PPD
                                                                                                                                     Center
                                           324.0                                    Village Labs 3, 5 and 6 (w/                                                                                                                                                                      DOE, PPD, Bldg Mgr
                                                                                                                    DOE,PPD        PPD/MD/TS        EH           MA              Once        9/21/2010               9/21/2010                 Y     EH                                                                       PPD
                                                                                    associated houses)
                                           325.0                                    NS4, PS6, NE9, MEA, NEB         DOE,PPD            PPD          EH           MA              Once       10/26/2010               10/26/2010                Y     EH                              DOE, PPD, Bldg Mgr                       PPD
                                           326.0                                    Meson Test, MAB, MC7, MC8                                                                                                                                                                        DOE, PPD, Bldg Mgr
                                                                                                                    DOE,PPD            PPD          EH           MA              Once       11/16/2010               11/16/2010                Y     EH                                                                       PPD
                                           327.0                                    Highly Protected Risk (HPR) /                                                                                                                                                                    Consolidation for big projects not
                                                                                    FESHM 6015                                                                                                                                                                                       recommened by SSO. Also transportation
                                                                                                                                                                                                                                                                                     for smaller areas limits ability to
                                                                                    HIL
                                                                                                                    ES&H,PPD           PPD          EM           MA              Once        2/11/2010   2/11/2010   2/11/2010    2/11/2010    N    NFPA    Complete    Bill James   consolidate.                             PPD



                                           328.0                                    Highly Protected Risk (HPR) /                                                                                                                                                                    JH to ask Nancy G if can discuss at
                                                                                    FESHM 6015                                                                                                                                                                                       next SSO meeting ire consolidation of
                                                                                                                    ES&H,PPD           PPD          EM           MA              Once        3/10/2010   3/10/2010   3/10/2010    3/10/2010    N    NFPA    Complete                 HPRs with other assessments. 4th         PPD
                                                                                    PAB, PPB, Gazebo
                                                                                                                                                                                                                                                                                     Thursday each Month. Minutes are in
                                           329.0                                    Highly Protected Risk (HPR) /                                                                                                                                                                    ES&H docDB. capabiity to
                                                                                                                                                                                                                                                                                     frESHTRAK has
                                                                                    FESHM 6015                                                                                                                                                                                       summarize Quarterly if we chose to do
                                                                                                                    ES&H,PPD           PPD          EM           MA              Once        3/25/2010   3/25/2010   3/25/2010    3/25/2010    N    NFPA    Complete                 that.                                    PPD
                                                                                    Lab 5 91,183 34/36/ Neuqua

                                           330.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        4/14/2010   4/14/2010   4/14/2010    4/14/2010    N    NFPA    Complete                                                          PPD
                                                                                    Lab 3 FIMS 133-47,181
                                           331.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        4/28/2010   4/28/2010   4/28/2010    4/28/2010    N    NFPA    Complete                                                          PPD
                                                                                    MAB
                                           332.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        5/5/2010     5/5/2010   5/5/2010     5/5/2010     N    NFPA    Complete                                                          PPD
                                                                                    WB PHOTON LAB (PB7)
                                           333.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        5/13/2010   5/20/2010   5/13/2010    5/20/2010    N    NFPA    Complete                                                          PPD
                                                                                    Lab 6 87-90,184

                                           334.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015
                                                                                    D0 EXP HALL                     ES&H,PPD           PPD          EM           MA              Once        6/10/2010               6/10/2010                 N    NFPA    Postponed                                                         PPD


                                           335.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        6/24/2010               6/24/2010                 N    NFPA                                                                      PPD
                                                                                    D-0 Office Bldg, PC4 Pump
                                           336.0                                    House Protected Risk (HPR) /
                                                                                    Highly
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        7/8/2010                7/8/2010                  N    NFPA                                                                      PPD
                                                                                    LAB 7 82,185
                                           337.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        7/21/2010               7/21/2010                 N    NFPA                                                                      PPD
                                                                                    LAB 8 119,120,121-124,186

                                           338.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        8/4/2010                8/4/2010                  N    NFPA                                                                      PPD
                                                                                    N LAB E, F, G
                                           339.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015
                                                                                    MiniBoone/MINOS                 ES&H,PPD           PPD          EM           MA              Once        8/12/2010               8/12/2010                 N    NFPA                                                                      PPD


                                           340.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015
                                                                                                                    ES&H,PPD           PPD          EM           MA              Once        9/8/2010                9/8/2010                  N    NFPA                                                                      PPD
                                                                                    Meson Det Bldg FIMS408/414

                                           341.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015
                                                                                    EAO - Training Center           ES&H,PPD           PPD          EM           MA              Once        9/15/2010               9/15/2010                 N    NFPA                                                                      PPD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                  Page 22 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End          DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                        Status       POC                      Comments                           Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date             Req    Req

                                           342.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015
                                                                                                                    ES&H,PPD           PPD          EM           MA              Once        10/6/2010               10/6/2010                 N    NFPA                                                                               PPD
                                                                                    LABS A, B, C, C Annex, Lab D

                                           343.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once       10/20/2010               10/20/2010                N    NFPA                                                                               PPD
                                                                                    KTeV, NS4, Big & Sm Barns
                                           344.0                                    Highly Protected Risk (HPR) /
                                                                                    FESHM 6015                      ES&H,PPD           PPD          EM           MA              Once        11/3/2010               11/3/2010                 N    NFPA                                                                               PPD
                                                                                    CDF
                                           345.0                                    Highly Protected Risk (HPR) /
                                                                                                                    ES&H,PPD           PPD          EM           MA              Once       11/11/2010               11/11/2010                N    NFPA                                                                               PPD
                                                                                    FESHM 6015
                                           346.0                      A       A     Conference Management              IAD             PPD          FI            IA            Annual       10/1/2009               9/30/2010                                                       Added from Alicia's list - Jed                    PPD
                                           347.0                                    KPMG Financial Statement                                                                                                                                                                         Alicia will send a list of all special process
                                                                                    Audit                                                                                                                                                                                            spares owners to see if CD is included in
                                                                                                                                                                                                                                                                                     the IAD or if it is just KPMG alone. Also
                                                                      A       A                                     IAD,KPMG          FI,CD         FI        IA,MA,TP          Annual                                                                                               iis the special process spares part of this?      PPD
                                                                                                                                                                                                                                                                                     JH - don't understand? Emailed to Alicia
                                                                                                                                                                                                                                                                                     12/17/2010

                                           348.0                                    FRA Visiting Committee for                                                                                                                                                                       Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                       Changes to FRA Board - Contractor
                                                                                                                                                                                                                                                                                     Assurance Assessment / H13
                                                                                                                                                                                                                                                                                     Clause (Formerly Peer Review) -
                                                                                                                                                                                                                                                                                     JH
                                                                      A       A                                        FRA            PPD         CA/QA           IA            Annual       8/1/2010                8/31/2010                 N             Complete     Lindgren                                                     PPD




                                           349.0                                    Fermilab Scientific Editorial
                                                                                    Review
                                                                      A       A                                       OQBP                          QA            IA             Once       11/15/2010 12/30/2010                              N     QA                                                                               Sci/Proj


                                           350.0                                    Division Head assessment of                                                                                                                                                                      JH JJC Global complete big A v
                                                                                    Superconducting RF                                                                                                                                                                               little a and Consolidation status.
                                                                                    Development Department                                                                                                                                                                           Agree on level of enumeraiton
                                                                                    (SRFD) / TD Policy (2020?)                                                                                                                                                                       example list each HPR building
                                                                                                                                                                                                                                                                                     separately or one line? Agree on
                                                                                                                                                                                                                                                                                     standard wording to be used by all
                                                                                                                                                                                                                                                                                     like assessments in "Subject /
                                                                                                                                                                                                                                                                                     Drivers" column. JH add
                                                          Cs          A       A                                      TD,HQ            SRFD        EH/QA          MA            1.5 years    12/11/2009 12/11/2009     2/8/2010    2/8/2010     N             complete                assessment method codes / filters                  TD
                                                                                                                                                                                                                                                                                     (drill, inspection, test, report, work
                                                                                                                                                                                                                                                                                     process etc)
                                                                                                                                                                                                                                                                                     JH SR discuss Assessment Method
                                                                                                                                                                                                                                                                                     codes, colors, id /confirm
                                                                                                                                                                                                                                                                                     OQBP/DOE assessments for all.
                                                                                                                                                                                                                                                                                     JH to provide ecopies to JB & JR
                                                                                                                                                                                                                                                                                     JR to add drivers, POC dates etc.
                                                                                                                                                                                                                                                                                     Assessment covers ES&H, QA,
                                           351.0                                    Division Head assessment of                                                                                                                                                                      Assessment covers ES&H, QA,
                                                                                    Design & Drafting Department                                                                                                                                                                     Operations, Budget, Foraml has
                                                          Cs          A       A     (DD)                             TD,HQ             DD         EH/QA          MA            1.5 years     1/14/2010   1/14/2010   3/31/2010    2/18/2010    N             complete                agendas, schedules, reports, action                TD
                                                                                                                                                                                                                                                                                     items etc.           All Div Head
                                                                                                                                                                                                                                                                                     assessments may contribute to the
                                           352.0                                    Division Head assessment of                                                                                                                                                                      Assessment Assessment Report
                                                                                                                                                                                                                                                                                     DOE PEMPcovers ES&H, QA, &
                                                                                    Machine Shop Department                                                                                                                                                                          Operations, Budget, Foraml has
                                                          Cs          A       A     (MS)                             TD,HQ             MS         EH/QA          MA            1.5 years     2/24/2010   2/24/2010   4/30/2010                 N            In Progress              agendas, schedules, reports, action                TD
                                                                                                                                                                                                                                                                                     items etc.

                                           353.0                                    Division Head assessment of                                                                                                                                                                      Assessment covers ES&H, QA,
                                                                                    Magnet Systems Department                                                                                                                                                                        Operations, Budget, Foraml has
                                                          Cs          A       A     (MSD)                            TD,HQ            MSD         EH/QA          MA            1.5 years     4/1/2010                6/30/2010                 N            On Schedule              agendas, schedules, reports, action                TD
                                                                                                                                                                                                                                                                                     items etc.

                                           354.0                                    Division Head assessment of                                                                                                                                                                      Assessment covers ES&H, QA,
                                                                                    Test & Instrumentation                                                                                                                                                                           Operations, Budget, Foraml has
                                                          Cs          A       A     Department (T&I)                 TD,HQ             TI         EH/QA          MA            1.5 years     7/1/2010                9/30/2010                 N            On Schedule              agendas, schedules, reports, action                TD
                                                                                                                                                                                                                                                                                     items etc.




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                               Page 23 of 32
                                                                                      Subject / Drivers (Laws, Regs,                 Assessed Org                   Assessment                      Planned     Actual   Planned Actual End   DOE     Other
                                           No.       Consolidation    Extra   Code                                   Performing Org.                     Systems                     Frequncy                                                                   Status      POC               Comments                   Org
                                                                                          Orders, Permits etc)                          D/S/C                        Method                        Start Date Start Date End Date   Date      Req      Req

                                           355.0                                      Division Head assessment of                                                                                                                                                                 Assessment covers ES&H, QA,
                                                                                      Quality & Materials Department                                                                                                                                                              Operations, Budget, Foraml has
                                                                                      (Q&M)                                                                                                                                                                                       agendas, schedules, reports, action
                                                                                                                                                                                                                                                                                  items etc.


                                                          Cs              A       A                                          TD,HQ            Q&M        EH/QA           MA           1.5 years     10/1/2010               12/31/2010            N           On Schedule                                                TD




                                           356.0                                      Tripartite - Work Process                                                                                                                                                                   FESHM 1040.1 latest version has
                                                                                      Control - operating procedures                                                                                                                                                              the host D/S/C as lead assessor so
                                                                                      & training QA combined with a                                                                                                                                                               neither ES&H nor DOE do more
                                                                                      Tripartite for ES&H                                                                                                                                                                         than participate.
                                                                                                                                                                                                                                                                                  The ISO assessment identified the
                                                                                                                          OQBP,ES&H,DO                                                                                                                                            tripartites as not being independent
                                                        Co-Cs             A       A                                                            TD        EH/QA       IA,MA,TP          Annual       4/15/2010               6/30/2010             N           On Schedule         enough and the value of tripartities   TD
                                                                                                                                E
                                                                                                                                                                                                                                                                                  is in question. Romesh to arrange
                                                                                                                                                                                                                                                                                  meeting with Nancy G.




                                           357.0                                      DOE Agreement Assessment                                                                                                                                                                    Inserted by JH from Bob's list sent
                                                                                      Report (DOE/OQBP lists).                                                                                                                                                                    out on for the 2nd Q each year to
                                                                                      Programmatic Operations &                                                                                                                                                                   Div Head. It seems like this may
                                                                                      Maintenance - Magnet Design,                                                                                                                                                                be already consolidated in part with
                                                                                      Construction & Testing                                                                                                                                                                      the Div Head's assessments since
                                                                                                                                                                                                                                                                                  they make a lot of the necessary
                                                                                                                                                                                                                                                                                  information available. More could
                                                                          A       A                                          TD,HQ             TD            QA          MA            Annual       1/1/2010                3/31/2010             Y                               be said than just X Div Heads          TD
                                                                                                                                                                                                                                                                                  audits were conducted over the past
                                                                                                                                                                                                                                                                                  year. JH to discuss with JB & JR &
                                                                                                                                                                                                                                                                                  KM




                                           358.0                                      OSHA-style inspection                                                                                                                                                                       Internally developed and conducted
                                                                                      (quarterly); every TD building is     TD,ES&H            TD            EH          MA          Quarterly      1/1/2010                12/31/2010            N           On Schedule         on the entire Div for compliance       TD
                                                                                      looked at every quarter                                                                                                                                                                     with OSHA
                                           359.0                                      ES&H walk-throughs -                                                                                                                                                                        Observations, discussion - informal
                                                                                      occupied industrial areas             TD,ES&H            TD            EH          MA          Quarterly      1/1/2010                12/31/2010            N           On Schedule         inspection of slings etc. DuPont       TD
                                                                                      (quarterly)                                                                                                                                                                                 Style
                                           360.0                                      ES&H walk-throughs - office                                                                                                                                                                 DuPont style
                                                                                      areas (semi-annually)                 TD,ES&H            TD            EH          MA         Semiannual      1/1/2010                12/31/2010            N           On Schedule                                                TD

                                           361.0                                      ES&H walk-throughs - storage                                                                                                                                                                DuPont style - least frequent
                                                                                      areas (annually)
                                                                                                                            TD,ES&H            TD            EH          MA            Annual       1/1/2010                12/31/2010            N           On Schedule                                                TD


                                           362.0                     A?       A       APUL - Director's CD-1 follow-                       TD/APUL      EH         DA             As Requested          40118                   40148         N               On Hold             Review was completed but now On
                                                                                      up review                                                                                                                                                                                   HOLD
                                                                                                                               DIR                                                                                                                                                                                       TD


                                           363.0                                      APUL - DOE CD-1 review                                                                                                                                                                      On HOLD pending advances in
                                                                                                                                                                                                                                                                                  technology
                                                                          A       A                                           DOE           TD/APUL          EH          TP        As Requested     1/20/2010               2/15/2010             Y            On Hold                                                   TD


                                           364.0                                      ISO 14001 Environmental                                                                                                                                                                     Simultaneus but separate audit
                                                                                      Mgmt Systems Assessment                                                                                                                                                                     teams 2010 is Trienniel
                                                                          A       A                                        NSF registrar     Fermilab    EH,QA          MA,TP       Semiannual      6/1/2010                                      N    ISO    On Schedule                                                TD
                                                                                                                                                                                                                                                                                  Recertification




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                      Page 24 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                 Status      POC               Comments                    Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date      Req    Req

                                           365.0                                    OHSAS 18001 Occupational                                                                                                                                                             Simultaneus but separate audit
                                                                                    Health Safety Assessment                                                                                                                                                             teams 2010 is Trienniel
                                                                                                                                                                                                                                                                         Recertification




                                                                      A       A                                     NSF registrar    Fermilab     EH,QA         MA,TP        Semiannual      6/1/2010                                   N    OHSAS On Schedule                                                   TD




                                           366.0                                    Vulnerability Study                                                                                                                                                                  3 Yr. Cycle - Criticality to mission,
                                                                                                                                                                                                                                                                         how secure is the building ex: IB1
                                                                                                                      Security         TD           SS            IA            Annual       3/6/2009                                   Y                                or 1a annual, IB2 2yrs, eventually      TD
                                                                                                                                                                                                                                                                         3yrs
                                                                                                                                                                                                                                                                         GLOBAL - Have each QAR list
                                           367.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                                                                                                                                                                           they are located at Fermilab
                                                                                    MP9                              ES&H,TD           TD           SS            IA             Once                                12/2/2009          Y             complete                                                   TD


                                           368.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                                                                                                                                                                           they are located at Fermilab
                                                                                    TPL                              ES&H,TD           TD           SS            IA             Once                                12/3/2009          Y             complete                                                   TD


                                           369.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                12/16/2009         Y             complete           they are located at Fermilab            TD
                                                                                    IND COMPR
                                           370.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                10/7/2010t         Y            On Schedule         they are located at Fermilab            TD
                                                                                    MP9
                                           371.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                11/14/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    TPL
                                           372.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                                                                                                                                                                           they are located at Fermilab
                                                                                    IND COMPR                        ES&H,TD           TD           SS            IA             Once                                12/12/2010t        Y            On Schedule                                                 TD


                                           373.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                11/12/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    IB1
                                           374.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                4/16/2010t         Y            On Schedule         they are located at Fermilab            TD
                                                                                    LAB 5 36/36A/38 Nequa
                                           375.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                11/14/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    IB2
                                           376.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                11/14/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    IB3
                                           377.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                11/14/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    IB4
                                           378.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                12/29/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    IBC C33

                                           379.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                12/3/2010t         Y            On Schedule         they are located at Fermilab            TD
                                                                                    MAGNET STORAGE
                                           380.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                10/18/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    WINN29

                                           381.0                                    Highly Protected Risk (HPR) /                                                                                                                                                        HPR - building addresses - how
                                                                                    FESHM 6015                       ES&H,TD           TD           SS            IA             Once                                10/18/2010t        Y            On Schedule         they are located at Fermilab            TD
                                                                                    LAB 2 Storage SEE 180,180s




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                     Page 25 of 32
                                                                                     Subject / Drivers (Laws, Regs,                 Assessed Org                 Assessment                      Planned     Actual   Planned Actual End            DOE    Other
                                           No.       Consolidation   Extra   Code                                   Performing Org.                   Systems                     Frequncy                                                                             Status      POC              Comments                  Org
                                                                                         Orders, Permits etc)                          D/S/C                      Method                        Start Date Start Date End Date   Date               Req     Req

                                           382.0                                     Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how
                                                                                     FESHM 6015                                                                                                                                                                                          they are located at Fermilab
                                                                                                                        ES&H,TD               TD          SS          IA              Once                                6/20/2010t                  Y              On Schedule                                              TD
                                                                                     Lab 4 40 Shabbona

                                           383.0                                     Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how
                                                                                     FESHM 6015                                                                                                                                                                                          they are located at Fermilab
                                                                                                                        ES&H,TD               TD          SS          IA              Once                                10/18/2010t                 Y              On Schedule                                              TD
                                                                                     WINN30

                                           384.0                                     Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how
                                                                                     FESHM 6015                                                                                                                                                                                          they are located at Fermilab
                                                                                                                        ES&H,TD               TD          SS          IA              Once                                10/18/2010t                 Y              On Schedule                                              TD
                                                                                     See Lab 2 storage FIMS 107

                                           385.0                                     Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how
                                                                                     FESHM 6015                                                                                                                                                                                          they are located at Fermilab
                                                                                                                        ES&H,TD               TD          SS          IA              Once                                11/29/2010t                 Y              On Schedule                                              TD
                                                                                     IB 2B

                                           386.0                                     Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how
                                                                                     FESHM 6015                         ES&H,TD               TD          SS          IA              Once                                10/10/2010t                 Y              On Schedule         they are located at Fermilab         TD
                                                                                     SHAB37-39149,150
                                           387.0                                     Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how
                                                                                     FESHM 6015                         ES&H,TD               TD          SS          IA              Once                                10/10/2010t                 Y              On Schedule         they are located at Fermilab         TD
                                                                                     27 Shabbona
                                           388.0                                     Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how
                                                                                     FESHM 6015                                                                                                                                                                                          they are located at Fermilab
                                                                                     39 Shabbona

                                                                                                                        ES&H,TD               TD          SS          IA              Once                                10/10/2010t                 Y              On Schedule                                              TD




                                           389.0                                     KPMG Financial Statement                                                                                                                                                                            KPMG for Cindy Conger CFO.
                                                                                     Audit & Special Process Spares                                                                                                                                                                      Alicia Filak - Internal audit
                                                                                     (SPS) Inventory                                                                                                                                                                                     department (IAD) is tasked with
                                                                                                                                                                                                                                                                                         assessing special process spares
                                                                                                                      IAD,KPMG,BSS            TD          FI      IA,MA,TP          Annual       9/15/2010                11/15/2010                  N     IAD      On Schedule                                              TD
                                                                                                                                                                                                                                                                                         inventory annually per Alicia.
                                                                                                                                                                                                                                                                                         Different organizations selected
                                                                                                                                                                                                                                                                                         annually but TD & AD always for
                                                                                                                                                                                                                                                                                         SPS.
                                           390.0                                     Internal audit of ProCard use                                                                                                                                                                       Conducted when requested Is this
                                                                                                                                                                                                                                                                                         an audit internal to and conducted
                                                                                                                                                                                                                                                          Internal
                                                                                                                       Internal Audit         TD          FI          IA            Annual       Unknown                                              N                                  by TD or is it conducted by Alicia   TD
                                                                                                                                                                                                                                                           Audit
                                                                                                                                                                                                                                                                                         Filak's IAD Dept?

                                           391.0                                     Chemical Inventory / SARA                                                                                                                                             SARA                          Threshold Qty re: Emergency
                                                                                     TITLE II OSHA Reports / TD                                                                                                                                           TITLE II                       Management Plan -.
                                                                                                                        TD,ES&H               TD          EH         MA             Annual       5/1/2010                  6/1/2010                   Y            On Schedule                                                TD
                                                                                     policy / FESHM                                                                                                                                                        OSHA                          Review & Report, then ES&H
                                                                                                                                                                                                                                                          Reports                        summarizes lab-wide
                                           392.0                             A       VTS-2 Design Review                    TD          TD           OT         MA             Once                  40141        40141        40155        40155 N                complete
                                                                                                                                                                                                                                                                                                                              TD

                                           393.0                                     VTS-2 Procurement Readiness
                                                                                 A   Review                                 TD                TD          OT         MA               Once       1/20/2010   1/20/2010    1/27/2010     1/27/2010     N               complete                                                TD

                                           394.0                                     LBNE Director's Review (CD-1                                                                                                                                                                        JH check on PPD and AD and TD
                                                                                 A   preparation)                           DIR              AD/TD        OT         DA         As Requested     6/1/2010                 9/30/2010                   N              On Schedule         on all of these as Assessed Org      TD

                                           395.0                                     LBNE "Lehman" Review (DOE
                                                                                 A   CD-1)                                 DOE               AD/TD        OT          TP        As Requested     6/1/2010                 9/30/2010                   Y              On Schedule                                              TD

                                           396.0                                     Mu2E Director's Review (CD-1
                                                                      A          A   preparation)                           DIR              AD/TD        OT         DA         As Requested     6/1/2010                 9/30/2010                   N              On Schedule                                              TD

                                           397.0                                     Mu2E "Lehman" Review (DOE
                                                                                     CD-1)

                                                                      A          A                                         DOE               AD/TD        OT          TP        As Requested     6/1/2010                 9/30/2010                   Y              On Schedule                                              TD




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                              Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                              Page 26 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End   DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                 Status         POC                    Comments                      Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date      Req    Req

                                           398.0                                    Project X Director's Review                                                                                                                                                                JR - Why does this not say
                                                                                    (CD-0 preparation)                                                                                                                                                                         AD/TD/PPD/ etc in Assessed Org
                                                                      A       A                                        DIR          Project X       OT           DA         As Requested     6/1/2010                9/30/2010          N            On Schedule               in addition to the project? JH check         TD
                                                                                                                                                                                                                                                                               w BB if CD involved, and in
                                           399.0                                    Project X "Lehman" Review                                                                                                                                                                  general when does not say
                                                                                                                                                                                                                                                                               JR - Why does this CD get involved
                                                                      A       A     (DOE CD-0) / O 413                DOE           Project X       OT            TP        As Requested     6/1/2010                9/30/2010          Y            On Schedule               AD/TD/PPD/CD in Assessed Org?                TD

                                           400.0                                    NOvA Director's Review (prep                                                                                                                                                               Added by jh for consistsency
                                                                      A       A                                       DOE            AD/TD          OT            TP        As Requested     6/1/2010                8/31/2010          Y            On Schedule                                                            TD
                                                                                    for DOE progress review)
                                           401.0                                    NOvA "Lehman" Review (DOE                                                                                                                                                                  No Director's Review on this.
                                                                      A       A     progress review)                  DOE            AD/TD          OT            TP        As Requested     6/1/2010                8/31/2010          Y            On Schedule               Distinction between Reviews and              TD

                                           402.0                                    MLAW Magnet-NOvA                                                                                                                                                                           Project Milestones ie: CD0-3
                                                                      A       A                                        TD              TD           OT           MA         As Requested     2/22/2010               2/26/2010          N             complete                                                              TD

                                           403.0                                    ILC Splittable Conduction
                                                                                    Cooled Quadrupole
                                                                      A       A                                        TD              TD           OT           MA         As Requested     3/1/2010                 3/1/2010          N             complete                                                              TD


                                           404.0                                    Mu2E Magnet
                                                                      A       A                                        TD              TD           OT           MA         As Requested     10/1/2010               10/31/2010         N            On Schedule                                                            TD


                                           405.0                                    LARP DOE Review

                                                                      A       A                                       DOE              TD           OT            TP        As Requested     6/1/2010                7/31/2010          Y            On Schedule                                                            TD


                                           406.0                                    Operational Readiness Reivew                                                                                                                                                               Is it ORC or ORR in subject?
                                                                      A       A     ORC review process for             TD              TD           EH           MA         As Requested     1/1/2010                4/30/2010          N            On Schedule                                                            TD
                                                                                    Cryomodule 1
                                           407.0                                    EP Tool Design Review

                                                                      A       A                                        TD              TD           OT           MA         As Requested     3/10/2010               5/31/2010          N            On Schedule                                                            TD


                                           408.0                                    ORC review process for
                                                                                    Cryomodule 2
                                                                      A       A                                        TD              TD           EH           MA         As Requested     9/1/2010                12/31/2010         N            On Schedule                                                            TD



                                           409.0                                    FRA Visiting Committee for                                                                                                                                                                 Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                 Changes to FRA Board - Contractor
                                                                      A       A                                        FRA             TD         CA/QA           IA            Annual       8/1/2010                8/31/2010          N             Complete      Apollinari Assurance Assessment / H13                   TD
                                                                                                                                                                                                                                                                               Clause (Formerly Peer Review) -
                                                                                                                                                                                                                                                                               JH
                                           410.0                                    DOE Agreement Assessment                                                                                                                                                                   Jeff to ask Bob G if this can by moved to
                                                                                    Report (DOE/OQBP lists). /                                                                                                                                                                 4th Q so it is in FY2010 rather than
                                                                                                                                                                                                                                                                               calendar 2010.
                                                                      A       A     Training                          WDRS            WDRS          CA            MA            Annual       4/1/2010                6/30/2010          Y    OQBP     Not Started                                                          WDRS
                                                                                                                                                                                                                                                                               Workforce Development & Training



                                           411.0                                    DOE Agreement Assessment
                                                                                    Report (DOE/OQBP lists). /
                                                                      A       A     Benefits Planning &               WDRS            WDRS          CA            MA            Annual       7/1/2010                9/30/2010          Y    OQBP                                                                          WDRS
                                                                                    Administration


                                           412.0                                    DOE Agreement Assessment                                                                                                                                                                   Employment Department and the
                                                                                    Report (DOE/OQBP lists). /                                                                                                                                                                 Employee Relations Department
                                                                      A       A                                       WDRS            WDRS          CA            MA            Annual       7/1/2010                9/30/2010          Y    OQBP                                                                          WDRS
                                                                                    Employment

                                           413.0                                    DOE Agreement Assessment
                                                                      A       A     Report (DOE/OQBP lists). /        WDRS            WDRS          CA            MA            Annual       7/1/2010                9/30/2010          Y    OQBP                                                                          WDRS
                                                                                    Compensation
                                           414.0                                    DOE Agreement Assessment
                                                                      A       A     Report (DOE/OQBP lists). /        WDRS            WDRS                        MA            Annual                                                  Y    OQBP                                                                          WDRS
                                                                                    Equal Opportunity / Counseling
                                           415.0                                    DOE Agreement Assessment
                                                                      A       A     Report (DOE/OQBP lists). /        WDRS            WDRS                        MA            Annual                                                  Y    OQBP                                                                          WDRS
                                                                                    Diversity




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                Page 27 of 32
                                                                                    Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                      Planned     Actual   Planned Actual End          DOE   Other
                                           No.       Consolidation   Extra   Code                                  Performing Org.                Systems                     Frequncy                                                                       Status        POC                        Comments                         Org
                                                                                        Orders, Permits etc)                          D/S/C                   Method                        Start Date Start Date End Date   Date             Req    Req

                                           416.0                                    Participants Evaluation of                                                                                                                                                                          Statistical summary of average responses to
                                                                                    Professional Development                                                                                                                                                                            questions about the courses taken. Track
                                                                                                                                                                                                                                                                                        issues and instructor effectiveness.
                                                                                    Courses
                                                                                                                                                                                                                                                                                        Corrections made if necessary.
                                                                                                                         WDRS          WDRS                       MA            Annual       10/1/2009               9/30/2010                 N                                                                                       WDRS




                                           417.0                                    FRA Visiting Committee for                                                                                                                                                                          Inserted as placeholder . For FY11-
                                                                                    Adminstration & Operations                                                                                                                                                                          Changes to FRA Board - Contractor
                                                                      A       A                                           FRA          WDRS       CA/QA         IA,MA           Annual       8/1/2010                8/30/2010                 N            Complete     VanVreede      Assurance Assessment / H13                     WDRS
                                                                                                                                                                                                                                                                                        Clause (Formerly Peer Review) -
                                                                                                                                                                                                                                                                                        JH
                                           418.0                                    Annual review of QuarkNet                                                                                                                                                                           Postponed due to weather
                                                                                    with DOE and NSF                                                                                                                                                                                    Education outreach. An internet network
                                                                      A       A                                           DOE          WDRS       CA/OT           TP            Annual       2/1/2010                2/28/2010                 Y            Postponed                   linking science classes with detectors of      WDRS
                                                                                                                                                                                                                                                                                        some sort and collaborate and share results.

                                           419.0                                    Annual Benefits Cost Study                                                                                                                                                                          Required by contract. Compares
                                                                      A       A                                          WDRS          WDRS       CA/OT           MA            Annual       7/1/2010                7/30/2010                 Y                                        retirement plan costs against DOE              WDRS
                                                                                                                                                                                                                                                                                        measures
                                           420.0                      A       A     Retirement Plan Audit                KPMG          WDRS       CA/OT         MA,TP           Annual       5/1/2010                10/30/2010                N                                                                                       WDRS
                                           421.0                                    Federal Accounting Standards
                                                                      A       A                                         Prudential     WDRS       CA/OT         MA,TP           Annual       2/1/2010    2/15/2010   9/30/2010                 N                                                                                       WDRS
                                                                                    FAS 106 Liability Audit
                                           422.0                                    Safety Walk through - 15th                                                                               3/11/2010               3/11/2010                                                          KayV / Bruce C / SSO
                                                         C248                                                            WDRS          WDRS         EH            MA         Semiannual                  3/11/2010                3/11/2010    N    ES&H                                1st floor combined annually                    WDRS
                                                                                    Floor                                                                                                    8/12/2010               8/12/2010
                                           423.0                                    Safety Walk through -
                                                                                    Lederman Sceince Center and          WDRS          WDRS         EH            MA            Annual       4/8/2010     4/8/2010    4/8/2010    4/8/2010     N    ES&H                                                                               WDRS
                                                                                    Surrounding areas
                                           424.0                                    Safety Walk through -
                                                                                                                                                                                             5/13/2010                5/13/2010
                                                                                    Children’s Center                    WDRS          WDRS         EH            MA         Semiannual                                                        N    ES&H                                                                               WDRS
                                                                                                                                                                                            11/11/2010               11/11/2010
                                           425.0                                    Safety Walk through - Pool,
                                                                                    Kuhn Barn (downstairs), Day
                                                                                                                          WDRS         WDRS         EH            MA            Annual       7/8/2010                 7/8/2010                 N    ES&H                                                                               WDRS
                                                                                    Camp, Anderson Barn, and
                                                                                    Sports Fields
                                           426.0                                    Safety Walk through -                                                                                                                                                                               1st floor added on annually to semiannual
                                                         C244                                                             WDRS         WDRS         EH            MA         Semiannual      8/12/2010               8/12/2010                 N    ES&H                                15th floor walk through                        WDRS
                                                                                    International Services (1st floor)
                                           427.0                                    HPR Highly Protected Risk                                                                                                                                                            Bill James /   Usually the building managaer goes
                                                                                                                       ES&H,WDRS       WDRS         EH            IA
                                                                                                                                                                                                                                                                          Jim Priest
                                                                                                                                                                                                                                                                                                                                       WDRS
                                                                                    inspection
                                           428.0                      A       A     Tripartite - contractor oversight WDRS,ES&H,DOE    WDRS         EH        IA,MA,TP          Annual       8/23/2010               9/30/2010                 N    FESHM               Bonkalski       Bonkalski                                      WDRS
                                           429.0                                    403B Retitrement Plan                                                                                                                                                                               Required by regulation
                                                                                                                                                                                                                                                                                        NicoleG to fill in the blanks on all WDRS
                                                                                                                                                                                                                                                                                        items
                                                                                                                         KPMG          WDRS                       IA                                                                                                                    Jeff Jed to complete Consolidation and A v     WDRS
                                                                                                                                                                                                                                                                                        a. Does KPMG do this at WDRS request
                                                                                                                                                                                                                                                                                        or at somebody elses? (TP v IA v MA)

                                           430.0                                    Benefits Value Study
                                                                                                                      Hewitt & Assoc   WDRS                     IA,MA                                                                          Y                                                                                       WDRS

                                           431.0                                    Balanced Scorecard                                                                                                                                                                                  No longer a PEMP requirement but
                                                                                                                         WDRS          WDRS         CA            MA            Annual                                                                                                                                                 WDRS
                                                                                                                                                                                                                                                                                        continued for value
                                           432.0                                    Safety Walk through - Training
                                                                                                                         WDRS          WDRS         EH            MA            Annual       9/9/2010                 9/9/2010                 N    ES&H                                                                               WDRS
                                                                                    Center/Recreational Facility
                                           433.0                                    Annual HR Report                                                                                                                                                                                    Retrospective quantitative report (X #
                                                                                                                         WDRS          WDRS         CA            MA            Annual                                                                                                                                                 WDRS
                                                                                                                                                                                                                                                                                        interviews, Y # EEO claims etc)
                                           434.0                                    HR 2010 Review of HR
                                                                                                                         WDRS          WDRS         CA            MA             Once                                                                                                                                                  WDRS
                                                                                    Customer Services
                                           435.0                                    Benefits Function - third party                                                                                                                                                                     Outside consultant
                                                                                                                         WDRS          WDRS         CA          MA,TP                                                                                                                                                                  WDRS
                                                                                    assessment
                                           436.0                                    Assessment of Records                                                                                                                                                                               Added to satisfy an As-Is CAP
                                                                                                                         WDRS          WDRS         QA            MA                                                                                                                                                                   WDRS
                                                                                    department




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                            Page 28 of 32
         Consolidation OQBP               Subject                            Performing    Assessed         Assessment           Planned     Actual   Planned                  Actual    DOE    Other                     Comments
  No.                               A/a                                                             Systems            Frequncy                                                                          Status     POC
          candidate     Eval                                                    Org.      Org D/S/C          Method             Start Date Start Date End Date                End Date   Req     Req
   136      WDRS          WDRS WDRSWDRS                                        WDRS        WDRS      WDRS        WDRS         WDRS         WDRS        WDRS        WDRS        WDRS      WDRS   WDRS     WDRS             WDRS
   137                             2009 Self-Assessment for Office                                                                                                                                       not yet
                                A for Professional and Organizatin             WDRS        WDRS       CA           MA         Annual      4/1/2010                6/30/2010               Y     OQBP
                                                                                                                                                                                                         started
                                   Development (OPOD)
   138                             2009 Self-Assessment for
                                A Benefits Planning and Benefits               WDRS        WDRS       CA           MA         Annual      7/1/2010                9/30/2010               Y     OQBP
                                          Administration
   139                                    2009 Self-Assessment for the
                                     A    Employment Department and the        WDRS        WDRS       CA           MA         Annual      7/1/2010                9/30/2010               Y     OQBP
                                          Employee Relations Department
   140                               A    2009 Self-Assessment for the         WDRS        WDRS       CA           MA         Annual      7/1/2010                9/30/2010               Y     OQBP
                                          Compensation Department
   141                                    Professional Development
                                          Program Participatants evaluate      WDRS        WDRS                    MA         Annual     10/1/2009                9/30/2010               N
                                          programs
   142                               A    Annual Peer Review of HR             WDRS        WDRS       OT         MA/TP        Annual      8/1/2010                8/30/2010               N
   143                               A    Annual review of QuarkNet with       WDRS        WDRS     CA/OT          MA         Annual      2/1/2010                2/28/2010               Y             Postponed         Postponed due to weather
                                          DOE and NSF
   144                               A    Annual Benefits Cost Study           WDRS        WDRS     CA/OT         MA          Annual      7/1/2010               7/30/2010                Y
   145                               A    Retirement Plan Audit                WDRS        WDRS     CA/OT        MA/TP        Annual      5/1/2010              10/30/2010                N
   146                               A    FAS 106 Liability Audit              WDRS        WDRS     CA/OT        MA/TP        Annual      2/1/2010    2/15/2010 9/30/2010                 N
   147                                    Safety Walk through - Lederman
                                          Sceince Center and Surrounding       WDRS        WDRS       EH           MA         Annual      4/8/2010    4/8/2010    4/8/2010    4/8/2010    N     ES&H
                                          areas
   148                                    Safety Walk through - Pool, Kuhn
                                          Barn (downstairs), Day Camp,         WDRS        WDRS       EH           MA         Annual      7/8/2010                7/8/2010                N     ES&H

   149                                    Anderson Barn, and Sports Fields
                                          Safety Walk through - Training       WDRS        WDRS       EH           MA         Annual      9/9/2010                9/9/2010                N     ES&H
                                          Center/Recreational Facility




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2011)                                                         Co=Consolidate Organization Cs= Consolidated Systems                                                                                  Page 29 of 32
 No.                                                 Subject
           Consolidation         OQBP                                                 Performing Assessed Org             Assessment                 Planned     Actual      Planned       Actual     DOE   Other
                                            A/a                                                                 Systems                 Frequncy                                                                     Status     POC              Comments
            candidate             Eval                                                   Org.       D/S/C                  Method                   Start Date Start Date    End Date     End Date    Req    Req
   168                                         WDRS                                                                                                                                                                                   WDRS
                WDRS                                                                    WDRS        WDRS        WDRS        WDRS         WDRS         WDRS        WDRS        WDRS         WDRS       WDRS WDRS      WDRS
                               WDRS        WDRS
    169                                        2009 Self-Assessment for
                                               Office for Professional and                                                                                                                                           not yet
                                                                                        WDRS        WDRS          CA         MA          Annual      4/1/2010                6/30/2010                 Y    OQBP
                                               Organizatin Development                                                                                                                                               started
                                           A   (OPOD)
    170                                        2009 Self-Assessment for
                                               Benefits Planning and Benefits           WDRS        WDRS          CA         MA          Annual      7/1/2010                9/30/2010                 Y    OQBP
                                           A   Administration
    171                                        2009 Self-Assessment for the
                                               Employment Department and
                                                                                        WDRS        WDRS          CA         MA          Annual      7/1/2010                9/30/2010                 Y    OQBP
                                               the Employee Relations
                                           A   Department
    172                                        2009 Self-Assessment for the
                                                                                        WDRS        WDRS          CA         MA          Annual      7/1/2010                9/30/2010                 Y    OQBP
                                           A   Compensation Department
    173                                        Professional Development
                                               Program Participatants evaluate          WDRS        WDRS                     MA          Annual      10/1/2009               9/30/2010                 N
                                               programs
   174                                     A   Annual Peer Review of HR                 WDRS        WDRS          OT        MA/TP        Annual      8/1/2010                8/30/2010                 N
   175                                         Annual review of QuarkNet                                                                                                                                                              Postponed due to weather
                                                                                        WDRS        WDRS        CA/OT        MA          Annual      2/1/2010                2/28/2010                 Y            Postponed
                                           A   with DOE and NSF
    176                                    A   Annual Benefits Cost Study               WDRS        WDRS        CA/OT        MA          Annual      7/1/2010                 7/30/2010                Y
    177                                    A   Retirement Plan Audit                    WDRS        WDRS        CA/OT       MA/TP        Annual      5/1/2010                10/30/2010                N
    178                                    A   FAS 106 Liability Audit                  WDRS        WDRS        CA/OT       MA/TP        Annual      2/1/2010    2/15/2010    9/30/2010                N
    179                                        Safety Walk through - 15th
                                                                                        WDRS        WDRS          EH         MA         Biennial     3/11/2010   3/11/2010   3/11/2010    3/11/2010    N    ES&H
                                               Floor
    180                                        Safety Walk through -
                                               Lederman Sceince Center and              WDRS        WDRS          EH         MA          Annual      4/8/2010     4/8/2010    4/8/2010    4/8/2010     N    ES&H
                                               Surrounding areas
    181                                        Safety Walk through -
                                                                                        WDRS        WDRS          EH         MA         Biennial     5/13/2010               5/13/2010                 N    ES&H
                                               Children’s Center
    182                                        Safety Walk through - Pool,
                                               Kuhn Barn (downstairs), Day              WDRS        WDRS          EH         MA          Annual      7/8/2010                 7/8/2010                 N    ES&H

    183                                        Camp, Walk through - 15th
                                               Safety Anderson Barn, and
                                                     floor / International Services     WDRS        WDRS          EH         MA         Biennial     8/12/2010               8/12/2010                 N    ES&H
                                                     (1st floor)
    184                                              Safety Walk through - Training     WDRS        WDRS          EH         MA          Annual      9/9/2010                 9/9/2010                 N    ES&H
                                                     Center/Recreational Facility
    185                                              Safety Walk through -
                                                     Children’s Center                  WDRS        WDRS          EH         MA         Biennial    11/11/2010               11/11/2010                N    ES&H




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2012)                                                                Co=Consolidated Organizations Cs=Consokidated Systems                                                                                      Page 30 of 32
 No.                                                 Subject
           Consolidation         OQBP                          Performing Assessed Org             Assessment                 Planned     Actual     Planned     Actual    DOE   Other
                                            A/a                                          Systems                 Frequncy                                                                Status   POC   Comments
            candidate             Eval                            Org.       D/S/C                  Method                   Start Date Start Date   End Date   End Date   Req    Req




63e082cd-5f8c-45b2-befa-916b03fcf31e.xlsx CY(2012)                                         Co=Consolidated Organizations Cs=Consokidated Systems                                                                   Page 31 of 32
CODES USED IN CONSOLIDATED ASSESSMENT SCHEDULES

See FAM - Chapter 2 Assessment Consolidation Procedure

NOTES
 1. Typical Assessment method codes that may be used:
   a. DA for Fermilab Director’s Assessments
   b. IA for Independent Assessments
   c. IAD for Internal Audit Department
   d. MA for Management Assessments
   e. SA for Special Assessment
   f. SV for Surveillances
   g. TP for Third Party Assessments


 2. Other types of codes that may be used:
   a. DR for Drill
   b. IN for Inspection
   c. MO for Monitoring
   d. MT for Maintenance
   e. OT for Other not previously identified
   f. RP for Report
   g. TS for Test
   h. WC for Work process Control
   i. WT for Walk Through

 3. System – One of the ten Fermilab management systems:
   a. BO for Business Operations
   b. CG for Corporate Governance
   c. CM for Communication
   d. EG for Engineering
   e. EH for Environment, Safety & Health (ES&H)
   f. FI for Finance
   g. IT for Information Technology
   h. PP for Performance Planning
   i. QA for Quality
   j. SC for Science Program

				
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