Fermi_Assessment_lists2010-12 Rev000 C6jh3

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					                                            Subject / Drivers (Laws, Regs,                 Assessed Org                Assessment                     Planned     Actual   Planned Actual End           DOE         Other                                                                                     Other List   Orig.
    No.      Consolidation   Extra   Code                                  Performing Org.                   Systems                  Frequncy                                                                                Status        POC                   Comments                 Org    Filters
                                                Orders, Permits etc)                          D/S/C                     Method                       Start Date Start Date End Date   Date              Req          Req                                                                                       Owner       Order

       1.0                                  ISO 14001 Environmental                                                                                                                                                                                   Simultaneus but separate audit                                        110.0
                                            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

                                                                                                                                                                                                                                                                                                 ISO 14001    ISO 14002
       2.0                                  OHSAS 18001 Occupational                                                                                                                                                                                  Simultaneus but separate audit                                        111.0
                                            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

                                                                                                                                                                                                                                                                                                  OHSAS        OHSAS
       3.0                                  DOE Agreement Assessment                                                                                                                                                                                                                                                        113.0
                                            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


                                                                                                                                                                                                                                                                                                  OQBP          OQBP
       4.0                                  DOE Agreement Assessment                                                                                                                                                                                  Here all means Paul C surveys lab-                                    114.0
                                            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)

                                                                                                                                                                                                                                                                                                  OQBP          OQBP
       5.0                                  Tripartite Assessment                                                                                                                                                                                     Limited DOE of list reivewed for                                      115.0
                                                                                                                                                                                                                                                      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"                  Tripartite     ES&H
       6.0                                  Operational Readiness                                                                                                                                                                                                                                                           116.0
                               A       A                                           AD          Experiments     EH         MA          As Needed                                                           N          AD                                                                    AD
                                            Clearance - ORC
       7.0                                  Accelerator Safety Order                                                                                                                                                                                                                                                        117.0
                                            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.                                            118.0
                                            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)..

                                                                                                                                                                                                                                                                                                   IAD           IAD
       9.0                                  DOE Safety Audit -32/yr / local                                                                                                                                                                           May be consolidated with HPR                                          119.0
                                            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




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                         Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                   Page 1 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                     Planned     Actual   Planned Actual End          DOE         Other                                                                 Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                  Frequncy                                                                             Status   POC             Comments             Org   Filters
                                                Orders, Permits etc)                          D/S/C                  Method                       Start Date Start Date End Date   Date             Req          Req                                                                   Owner       Order

     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




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                     Co=Consolidated Organizations Cs= Consolidated Systems                                                                                              Page 2 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                     Planned     Actual   Planned Actual End          DOE         Other                                                                 Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                  Frequncy                                                                             Status   POC             Comments             Org   Filters
                                                Orders, Permits etc)                          D/S/C                  Method                       Start Date Start Date End Date   Date             Req          Req                                                                   Owner       Order

     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




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                     Co=Consolidated Organizations Cs= Consolidated Systems                                                                                              Page 3 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                     Planned     Actual   Planned Actual End          DOE         Other                                                                       Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                  Frequncy                                                                             Status   POC               Comments                 Org   Filters
                                                Orders, Permits etc)                          D/S/C                  Method                       Start Date Start Date End Date   Date             Req          Req                                                                         Owner       Order

     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                                      120.0
                                                                                                                                                                                                                                       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                                 123.0
                               ?       A    Review                             DOE           AD/PPD         CA         TP           Annual                                                            Y                                QA purposes. Plans, reports etc.     AD



85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                     Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                     Page 4 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                 Planned     Actual   Planned Actual End           DOE         Other                                                                         Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                             Status    POC               Comments                 Org   Filters
                                                Orders, Permits etc)                          D/S/C                  Method                   Start Date Start Date End Date   Date              Req          Req                                                                           Owner       Order

     43.0                                   QA Assessment ( Power outage                                                                                                                                                                                                                                 125.0
                               A       A    Recovery )                        OQBP             AD           QA          IA         Once        6/7/2010   6/7/2010    8/27/2010     9/23/2010      Y         OQBP    Complete                                              AD
                                                                                                                                                                                                                                                                                 OQBP        OQBP
     44.0                                   HPR Highly Protected Risk                                                                                                                                                                 GLOBAL - Is HPR Req. by DOE or                                     126.0
                                            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                                                                                                                                                                                                                                    126.1
                                            inspections / FESHM 6015           AD              AD          EH/OT       MA         Annual                                                                                                                                   AD

     46.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.2
                                            inspections / FESHM 6015           AD              AD          EH/OT       MA         Annual                                                                                                                                   AD

     47.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.3
                                            inspections / FESHM 6015           AD              AD          EH/OT       MA         Annual                                                                                                                                   AD

     48.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.4
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     49.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.5
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     50.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.6
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     51.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.7
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     52.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.8
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     53.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    126.9
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     54.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.1
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     55.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.2
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     56.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.3
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     57.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.4
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     58.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.5
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     59.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.6
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     60.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.7
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     61.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.8
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     62.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    127.9
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     63.0                                   Accelerator Advisory                                                                                                                                                                      Is this DOE Req'd or not? Steve                                    128.0
                                            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                                                                                                                                                                                                                                    128.1
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     65.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    128.2
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     66.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    128.3
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     67.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    128.4
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     68.0                                   HPR Highly Protected Risk                                                                                                                                                                                                                                    128.5
                                                                               AD              AD          EH/OT       MA         Annual                                                                                                                                   AD
                                            inspections / FESHM 6015
     69.0                                   QA Assessment ( RF Processes -                                                                                                                                                                                                                               129.0
                               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)
                                                                                                                                                                                                                                                                                 OQBP        OQBP



85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                  Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                       Page 5 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                   Planned     Actual   Planned Actual End           DOE        Other                                                                                              Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                 Frequncy                                                                                 Status         POC                      Comments                    Org    Filters
                                                Orders, Permits etc)                          D/S/C                  Method                     Start Date Start Date End Date   Date              Req         Req                                                                                                Owner       Order

     70.0                                   LBNE Director's Review (CD-1                                                                                                                                                                             All project reviews added by JH                                           129.1
                                            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                                                                                                                                                                                                                                                          129.2
                               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                                                                                                                                                                                                                                                       129.3
                                       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                                                                                                                                                                                                                                                          129.4
                               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                                                                                                                                                                                                                                                       129.5
                               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

                                                                                                                                                                                                                                                                                                       FRA          FRA
     77.0                                   ISO 14001 Environmental                                                                                                                                                                                  Simultaneus but separate audit                                            251.1
                                            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.
                                                                                                                                                                                                                                                                                                     ISO 14001   ISO 14002
     78.0                                   OHSAS 18001 Occupational                                                                                                                                                                                 Simultaneus but separate audit                                            251.2
                               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                                  OHSAS       OHSAS
     79.0                                   Daily Occupancy List                                                                                                                                                                                    Listing of occupants in all residences;                                    252.0
                                                                                                                                                                                                               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.                                                   253.0
                                                                                                                                                                                                               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.                                                      254.0
                                                                           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.                                     255.0
                                                                                                                                                                                                               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.                                   256.0
                                            / 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                                     257.0
                                                                                                                                                                                                                                                    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                                     258.0
                                                                                                                                                                                                                                                    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.




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                   Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                            Page 6 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org                Assessment                Planned     Actual   Planned Actual End           DOE        Other                                                                                         Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                   Systems                Frequncy                                                                           Status      POC                       Comments                       Org   Filters
                                                Orders, Permits etc)                          D/S/C                     Method                  Start Date Start Date End Date   Date              Req         Req                                                                                           Owner       Order

     86.0                                   Arrival Inspections                                                                                                                                                                              Inspection upon arrival - state of the                                       259.0
                                                                                                                                                                                                                                             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                                                 260.0
                                                                                                                                                                                                               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                                         261.0
                                            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 -                                     262.0
                                                                                                                                                                                                               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                                                 263.0
                                                                                                                                                                                                                                             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                                                                       264.0
                                            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                                                             265.0
                                                                                                                                                                                                               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                                        266.0
                                                                                                                                                                                                                                             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 -                                      267.0
                                                                                                                                                                                      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                                                 268.0
                                            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                                                                    269.0
                                       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                                              270.0
                                                                                                                                                                                                            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.                                        270.1
                                            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                                      270.2
                                       A    Legal Liabililty                                    BSS-Accom.                MA                                                                                                                   there is one (legal firm)? Need to fill in   BSS
                                                                                                                                                                                                                                               the blanks?


85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                   Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                       Page 7 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org                 Assessment                   Planned     Actual   Planned Actual End           DOE        Other                                                                                          Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                    Systems                 Frequncy                                                                              Status       POC                     Comments                     Org   Filters
                                                Orders, Permits etc)                          D/S/C                      Method                     Start Date Start Date End Date   Date              Req         Req                                                                                            Owner       Order

    100.0                                   851 Assessments / 10CFR851                                                                                                                                                                             3 topics each timeUsed by DOE in lieu                                       271.0
                                            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                                       272.0
                                            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                                              273.0
                                                                                                                                                                                                                                                   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.                                       274.0
                                            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                                        275.0
                                            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.
                                                                                                                                                                                                                                                                                                    Tripartite     ES&H
    105.0                                   Fire Department Self-                                                                                                                                                                                   Part of Emergency Mgmt Plan                                                276.0
                                                                                                                                                                                                                 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                                       278.0
                                            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 &                                               279.0
                                            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                                            280.1
                                       A                                     Procurement                        CA         RP          Biannual                                                         Y                             Joe Colliins                                            BSS
                                            Report                                              Procurement
    109.0                                   Procurement Second Level Self-                                                                                                                                         BSS-                                                                                                        282.0
                                                                                                   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                                            282.1
                               A       A                                        DOE-IG                                     TP        As Requested                                                       Y                             Joe Colliins                                            BSS
                                                                                                Procurement
    111.0                                   FSO                                                                                                                                                                                                    Contracting Officier. Sample of Pos                                         282.2
                                                                                                                                                                                                                                                   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                                      282.3
                               A       A                                        DOE-CH                                     TP        As Requested                                                       Y                             Joe Colliins compliance                                 BSS
                                                                                                Procurement




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                       Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                        Page 8 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org                    Assessment                    Planned     Actual   Planned Actual End           DOE         Other                                                                                           Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                       Systems                 Frequncy                                                                                Status        POC                       Comments                      Org   Filters
                                                Orders, Permits etc)                          D/S/C                         Method                      Start Date Start Date End Date   Date              Req          Req                                                                                             Owner       Order

    113.0                                   Balanced Scorecard Assessment                                                                                                                                                                                   Report is based upon Property and                                        283.0
                                            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                                       284.0
                                            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                                   285.0
                                            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                                            285.1
                                                                                                                                                                                                                                                            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                                       285.2
                               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                                                                                                                                                                                                                                                                    286.0
                                                                                                                                                                                                                                              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
                                                                                                                                                                                                                                                                                                             OQBP        OQBP
    119.0                                   FRA Visiting Committee for                                                                                                                                                                                   Inserted as placeholder . For FY11-                                         288.0
                                                                                                  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                           FRA         FRA
    120.0                                   Miscellaneous Internal Audit                                                                                                                                                                                 Clause (Formerly with inputs from
                                                                                                                                                                                                                                                         Alicia decides topicsPeer Review) -                                         289.0
                                            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                                           290.0
                                            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

                                                                                                                                                                                                                                                                                                             OQBP        OQBP
    122.0                                   Training Approval Plan                                                                                                                                                                                        JH - SR What does green mean?                                              292.0
                                            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                                                                                                                                                                                                                                                             293.0
                                       A                                          Security          Fermilab       SS         MA           Annual                                                            Y         DOE SS               Bill Flaherty                                              BSS
                                            Security
    124.0                                   DOE Agreement Assessment                                                                                                                                                                                        Annual energy report -petroleum                                          294.0
                                            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.




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                            Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                         Page 9 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org                   Assessment                   Planned     Actual   Planned Actual End          DOE         Other                                                                                               Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                      Systems                 Frequncy                                                                                Status      POC                       Comments                       Org   Filters
                                                Orders, Permits etc)                          D/S/C                        Method                     Start Date Start Date End Date   Date             Req          Req                                                                                                 Owner       Order

    125.0                                   Local Use Objectives - Goals, a                                                                                                                                                                             Yearly mileage/usage objectives to                                            295.0
                                            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                                         296.0
                                            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                                         297.0
                                                                                                                                                                                                                                                        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.                                                              298.0
                                            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,                                                 299.1
                                            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.

                                                                                                                                                                                                                                                                                                           Tripartite    ES&H ?
    130.0                                   Highly Protected Risk (HPR) /                                                                                                                                                                               Fire Protection Engineer on team                                              299.2
                                                                                                                                                                                                                                          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                                                                                                                                                                                                                                                                     299.3
                               A       A                                          KPMG               BSS          FI          IA         Annual                                                                                                                                                      BSS
                                            assessement for FI CFO                                                                                                                                                                                                                                          KPMG          KPMG
    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
                                                                                                                                                                                                                                                                                                             IAD           IAD
                                                                                                   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                                                                                                                                                                                                IAD           IAD
    134.0                                   Allowable costs                                                                                                                                                                                             ProCard, Petty Cash, Taxes etc. Pam                                           299.4
                                                                                                                                                                                                                                                        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


                                                                                                                                                                                                                                                                                                             IAD           IAD
    135.0                                   Wide Area Network Assessment                                                                                                                                                                                Desktop audit, interview                                                      176.0
                               A       A    / IQA, FICAP, other?                  OQBP          CD/Operations     QA         IA           Once        6/7/2010               7/20/2010                    N         OQBP       Complete                                                              CD
                                                                                                                                                                                                                                                                                                           OQBP           OQBP




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                         Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                             Page 10 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org                   Assessment                 Planned     Actual   Planned Actual End          DOE         Other                                                                                     Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                      Systems                Frequncy                                                                             Status       POC                Comments                     Org    Filters
                                                Orders, Permits etc)                          D/S/C                        Method                   Start Date Start Date End Date   Date             Req          Req                                                                                       Owner       Order

    136.0                                   Quarterly Walkthrough                                                                                                                                                                               CD Tripartite Report in CD-doc-                                           178.0
                                            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
                                                                                                                                                                                                                                                                                               Tripartite    ES&H ?
    137.0                                   Highly Protected Risk (HPR) /                                                                                                                                                                       Possbile consolidation with other                                         179.0
                                            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.                                               180.0
                                            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
                                                                                                                                                                                                                                                                                                              KPMG
    139.0                                   ISO 14001 Environmental                                                                                                                                                                             Simultanious not consolidated                                             181.0
                                            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.
                                                                                                                                                                                                                                                                                               ISO 14001      KPMG
    140.0                                   OHSAS 18001 Occupational                                                                                                                                                                            Simultanious not consolidated                                             181.1
                               A       A    Health Safety Assessment           NSF registrar        CD            EH        MA,TP      Semiannual   6/7/2010                6/12/2010                   N         OHSAS On Schedule                                                      CD
                                                                                                                                                                                                                                                                                                OHSAS
    141.0                                   FY10 Reviews of Strategic                                                                                                                                                                           Postponed this year for early budget                                      182.0
                                            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                                        183.0
                                            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                                        184.0
                                            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                                                  185.0
                                            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




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                       Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                   Page 11 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                Planned     Actual   Planned Actual End          DOE         Other                                                                             Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                           Status    POC                 Comments                   Org   Filters
                                                Orders, Permits etc)                          D/S/C                  Method                  Start Date Start Date End Date   Date             Req          Req                                                                               Owner       Order

    145.0                                   DOE Agreement Assessment                                                                                                                                                                  Hardware                                                             186.0
                                            Report (DOE/OQBP lists). /
                                            Scientific Computing /
                               A       A    Hardware Management                CD              CD           QA         MA         Annual     7/1/2010                7/30/2010                   N         OQBP                                                              CD


                                                                                                                                                                                                                                                                                   OQBP        OQBP
    146.0                                   DOE Agreement Assessment                                                                                                                                                                  Network                                                              187.0
                                            Report (DOE/OQBP lists). /
                                            Scientific Computing / Network
                               A       A                                       CD              CD           QA         MA         Annual     7/1/2010                7/31/2010                   N         OQBP                                                              CD
                                            Management

                                                                                                                                                                                                                                                                                   OQBP        OQBP
    147.0                                   DOE Agreement Assessment                                                                                                                                                                  Software                                                             188.0
                                            Report (DOE/OQBP lists). /
                                            Scientific Computing /
                               A       A    Software Management                CD              CD           QA         MA         Annual     7/1/2010                8/1/2010                    N         OQBP                                                              CD


                                                                                                                                                                                                                                                                                   OQBP        OQBP
    148.0                                   DOE Agreement Assessment                                                                                                                                                                  MIS - not on OQBP Quarterly                                          189.0
                                            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

                                                                                                                                                                                                                                                                                   OQBP        OQBP
    149.0                                   KPMG Financial Statement                                                                                                                                                                  Primary responsibility with Finance.                                 190.0
                                            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.
                                                                                                                                                                                                                                                                                    IAD         IAD
    150.0                                   ITIL/ISO2000                                                                                                                                                                              Report not yet available (June                                       191.0
                                                                                                                                                                                                                                      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.
                                                                                                                                                                                                                                                                                    IAD         IAD
    151.0                                   IG Capital Planning                                                                                                                                                                       Information Gathering                                                192.0
                                       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                                                              193.0
                                                                                                                                                                                                                                      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
                                                                                                                                                                                                                                                                                    IAD         IAD
    153.0                                   Placeholder for walkthroughs                                                                                                                                                              Director's Walkthrough - no records                                  193.1
                                                                                                                                                                                                                                      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                                                                                                                                                                                                                   IAD         IAD
    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


                                                                                                                                                                                                                                                                                    FRA         FRA
    156.0                                   Safeguards & Security                                                                                                                                                                     None is scheduled by DOE. BB to                                      193.2
                                            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.




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                           Page 12 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                Planned     Actual   Planned Actual End          DOE         Other                                                                                        Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                           Status       POC                   Comments                     Org     Filters
                                                Orders, Permits etc)                          D/S/C                  Method                  Start Date Start Date End Date   Date             Req          Req                                                                                          Owner       Order

    157.0                                   DOE Cyber Security assessment                                                                                                                                                                 DOE Red Team social engineering,                                            122.0
                                                                                                                                                                                                                                          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)

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


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


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

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

                                                                                                                                                                                                                                                                                            OQBP          OQBP
    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



                                                                                                                                                                                                                                                                                           Tripartite     ES&H
    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                                                 FRA           FRA
    165.0                                   Safeguards and security survey                                                                                                                                                    Flaherty    Req by HQ. JH to Ask JAdachi                                                 60.0
                                                                                                                                                                                                                                          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                                                                                 61.0
                               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                                                   62.0
                               A       A                                      FES&HCOM       Fermilab       EH         DA        Triennial   4/23/2009   4/23/2009                4/23/2009      N         FESHM   Complete                                                         ES&H
                                            assessment


85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                      Page 13 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                 Planned     Actual   Planned Actual End          DOE         Other                                                                                        Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                            Status       POC                   Comments                     Org     Filters
                                                Orders, Permits etc)                          D/S/C                  Method                   Start Date Start Date End Date   Date             Req          Req                                                                                          Owner       Order

    168.0                                   Tripartite - FI ES&H program                                                                                                                                                       Cassidy     Adjusted topics based on                                                     63.0
                                            / 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?                            Tripartite     ES&H
    169.0                                   Tripartite - Nuclear materials                                                                                                                                                     Graden      Really not a tripartite because just                                         64.0
               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.                                              OQBP        Tripartite
    170.0                                   Energized electrical safety -                                                                                                                                                      Coll        Different topics each time                                                   65.0
                               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                                                                                66.0
               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                                                       67.0
                                            & 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                                                      68.0
                                                                                 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                                                   69.0
               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                                                         70.0
                                            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                                                71.0
                                            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                               72.0
    178.0                                   Tripartite - work planning /                                                                                                                                                       Bonkalski   Rafael Coll coordinates the                                                  73.0
                                            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



                                                                                                                                                                                                                                                                                            Tripartite     ES&H
    179.0                                   Site 55 Resource Conservation                                                                                                                                                      James       On-site storage Hazardous Waste                                              74.0
                                            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                                           75.0
                                            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                                                                                                                                                                                                                                          Tripartite     ES&H
    181.0                                   Tripartite - procedures for                                                                                                                                                        Ruthe                                                                                    76.0
                                                                              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                                                                                                                                                                                                                                          Tripartite     ES&H
    182.0                                   Tripartite - emergency                                                                                                                                                             Pavnica                                                                                  77.0
                 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                                                                                                                                                                                                                                    Tripartite     ES&H
    183.0                                   Tripartite - Emergency                                                                                                                                                             James       Combined with ESHS tripartite                                                78.0
                                            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                                      Tripartite    ES&H ?
    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.                                     Tripartite    ES&H ?
    185.0                                   Air emissions report                 ES&H        Fermilab       EH         SV         Annual      6/1/2010                                            N          EPA               Larson      Report                                    ES&H                               80.0



85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                      Page 14 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org               Assessment                 Planned     Actual   Planned Actual End          DOE         Other                                                                                        Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                  Systems                Frequncy                                                                              Status        POC                   Comments                  Org     Filters
                                                Orders, Permits etc)                          D/S/C                    Method                   Start Date Start Date End Date   Date             Req          Req                                                                                          Owner       Order

    186.0                                   Toxic release inventory                                                                                                                                                                 Larson       Report                                                                   81.0

                                                                                    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                                            82.0
                                            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
                                                                                                                                                                                                                                                                                              ISO 14001
    188.0                                   OHSAS 18001 Occupational                                                                                                                                                            Coll/Mielan Simultaneus but separate audit                                                82.1
                                            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
                                                                                                                                                                                                                                                                                               OHSAS
    189.0                                   Occupational RAD exposure /                                                                                                                                                             Cossairt     Table top discussion. Jeff to query                                      83.0
               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?                                        84.0
                                            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

                                                                                                                                                                                                                                                                                              Tripartite     ES&H
    191.0                                   DOE Agreement Assessment                                                                                                                                                                Michels      Combine with RAD exposure table                                          85.0
                                            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-                  OQBP          OQBP
    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

                                                                                                                                                                                                                                                                                               OQBP          OQBP
    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

                                                                                                                                                                                                                                                                                               OQBP          OQBP
    194.0                                   Tripartite - Personnel                                                                                                                                                                  Anderson     AD does separate check on slings?                                        86.0
                               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                                                                                                                                                                                                                            Tripartite     ES&H
    195.0                                   Tripartite - contractor oversight                                                                                                                                                       Bonkalski    Bonkalski considering performing                                         87.0
                               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
                                                                                                                                                                                                                                                                                              Tripartite     ES&H
    196.0                                   Emergency Readiness                                                                                                                                                                     James        Administrative - tracked by DOE                                          88.0
                                            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                                         89.0
                                            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                               90.0
    199.0                                   ESHS plan implementation                                                                                                                                                                Cassidy      Each D/S/C creates annual plan,                                          91.0
                                            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                                            92.0
                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                                                                  93.0
                                                                                    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                                         94.0
                                            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                                               95.0
                                                                                    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                                               96.0
                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                                        96.1
                                            inspections FESHM 6015                  ES&H         Fermilab     EH         SV         Monthly                                                                                                                                            ES&H




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                   Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                      Page 15 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                Planned     Actual   Planned Actual End           DOE         Other                                                                                Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                            Status          POC                Comments                Org    Filters
                                                Orders, Permits etc)                          D/S/C                  Method                  Start Date Start Date End Date   Date              Req          Req                                                                                  Owner       Order

    206.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.2
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    207.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.3
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    208.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.4
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    209.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.5
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    210.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.6
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    211.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.7
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    212.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.8
                                            inspections FESHM 6015
                                                                              ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H


    213.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         96.9
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    214.0                                   AED Automatice External                                                                                                                                                            Gibbs       Inspection                                                           97.0
                                            Defibrillator inspection          ES&H           Fermilab       EH         SV        Monthly      Frequent                                            N                                                                             ES&H

    215.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         97.1
                                            inspections FESHM 6015
                                                                              ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H


    216.0                                   Highly-Protected Risk (HPR)                                                                                                                                                                                                                                         97.2
                                            inspections FESHM 6015            ES&H           Fermilab       EH         SV        Monthly                                                                                                                                        ES&H

    217.0                                   Sitewide Emergency Warning                                                                                                                                                         James       James                                                                98.0
                                                                              ES&H           Fermilab       EM         SV        Monthly      Frequent                                            N                                                                             ES&H
                                            System (SEWS) test
    218.0                                   Confined space permit and                                                                                                                                                          D/S         D/S/Cs                                                               99.0
                                                                             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 &                                        100.0
                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?                                     101.0
                                                                              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                                           102.0
                                            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                                                  103.0

                                                                              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?                                    104.0
                               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                                                             105.0
                               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                                                              106.0
                                            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                                            107.0
                                            FSO
                               A       A                                      DOE            Fermilab       EH         MA          Once      Non-repeat 4/27/2010    4/29/2010                    N         EPA                                                                 ES&H




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                              Page 16 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                   Planned     Actual   Planned Actual End           DOE         Other                                                                                      Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                 Systems                 Frequncy                                                                               Status         POC                  Comments                 Org     Filters
                                                Orders, Permits etc)                          D/S/C                   Method                     Start Date Start Date End Date   Date              Req          Req                                                                                        Owner       Order

    227.0                                   Tripartite CAS effectiveness                                                                                                                                                              Coll        JohnD verify if complete & who                                         108.0
                                            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


                                                                                                                                                                                                                                                                                              Tripartite     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) -                 FRA           FRA
    229.0                                   DOE Agreement Assessment                                                                                                                                                                                                                                                     195.0
                                            Report (DOE/OQBP lists).
                                            Infrastructure - Routine
                               A       A    maintenance Quarterly Self-            FESS          FESS        CA         MA          Annual       Quarterly    Ongoing                                 Y                                                                                FESS
                                            assessment
                                                                                                                                                                                                                                                                                               OQBP          OQBP
    230.0                                   DOE Agreement Assessment                                                                                                                                                                                                                                                     196.0
                                            Report (DOE/OQBP lists).
                                            Infrastructure - Energy
                               A       A    Conservation Quarterly Self-           FESS          FESS        CA         MA          Annual       Quarterly    Ongoing                                 Y                                                                                FESS
                                            assessment


                                                                                                                                                                                                                                                                                               OQBP          OQBP
    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               IAD           IAD
    232.0                                   DOE Facility Information                                                                                                                                                                              SPS (per accounting)..
                                                                                                                                                                                                                                                  OECM=Office of Engineering &                                           197.0
                                            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                                       198.0
                                            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                                                                                                                                                                                                                                                     199.0
                                            (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                                      200.0
                                            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                                            201.0
                                                                                   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                              203.0
    238.0                                   WH Annual Tornado Drill                FESS          FESS        EM         MA          Annual        3/1/2010     3/1/2010                               Y                                                                                FESS                              204.0
    239.0                                   Tripartite Assessment (Topic                                                                                                                                                              Bonkalski   Rafael Coll coordinates                                                206.0
                                            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                                       Tripartite     ES&H
    240.0                      A       A    QA Time & Materials T&M                OQBP          FESS        IA          IA          Once        11/1/2009    11/1/2009                               N                                                                                FESS                              208.0
                                                                                                                                                                                                                                                                                               OQBP          OQBP
    241.0                                   Mission Readiness Peer Review                                                                                                                                                                                                                                                208.1

                               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.                                        209.0
                               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
                                                                                                                                                                                                                                                                                              ISO 14001    ISO 14002
    243.0                                   OHSAS 18001 Occupational                                                                                                                                                                              Was one line item before split.                                        209.1
                               A       A                                        NSF registrar    FESS        EH        MA,TP       Semiannual                                                         N         OHSAS On Schedule                                                      FESS
                                            Health Safety Assessment                                                                                                                                                                              Simultaneous by NSF                          OHSAS        OHSAS
    244.0                                   DOE H13 Contractor Assurance                                                                                                                                                                                                                                                 210.0
                                            Audit
                               A       A                                          DOE-CH         FESS        CA         TP        As Requested     2012?       2012?                                  Y                                                                                FESS




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                     Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                    Page 17 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                     Planned     Actual   Planned Actual End           DOE         Other                                                                                      Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                   Frequncy                                                                                Status        POC                   Comments                    Org    Filters
                                                Orders, Permits etc)                          D/S/C                   Method                       Start Date Start Date End Date   Date              Req          Req                                                                                        Owner       Order

    245.0                                   Review Radiation Control                                                                                                                                                                                AD & ES&H Review proposed                                              211.0
                                            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.                                           214.0
                                            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                                  229.0
                                                                              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                                                 231.0
                                            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                                                                                                                                                                                                                                                            232.0
                               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?                                           232.1
                                                                                                                                                                                                                                                    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) -                 FRA         FRA
    263.0                                   FY09 Allowable Cost Audit                                                                                                                                                                               JH                                                                     307.0
                                                                                          FI, BSS, FRA    Fin, Bus
                               A       A                                       IAD                                      IA           Annual                     4/14/2010                8/30/2010      Y                 Complete      C. Conger                                            FI
                                                                                               Corp         Ops
                                                                                                                                                                                                                                                                                                    IAD         IAD
    264.0                                   FY09 FRA Financial Statement                                                                                                                                                                            FRA CFO B. Stauss oversees audit                                       308.0
                                            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
                                                                                                                                                                                                                                                                                                   KPMG        KPMG
    265.0                                   FY09 FRA A-133 (Grants)                                                                                                                                                                               FRA CFO B. Stauss oversees audit                                         309.0
                               A       A                                      KPMG             FI           Fin         TP           Annual                     9/1/2010                 1/22/2010      N         LLC     Complete      C. Conger                                            FI
                                            Audit                                                                                                                                                                                                 for FRA, LLC                                     KPMG        KPMG
    266.0                                   CY09 401a Benefit Plan Audit                                  Fin, Bus                                                                                                                                DOL=Dept of Labor                                                        310.0
                               A       A                                      KPMG          WDRS, FI                    TP           Annual                     7/1/2010    10/15/2010                  N         DOL     In Progress   M. Todd                                              FI
                                                                                                            Ops                                                                                                                                                                                    KPMG        KPMG

85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                       Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                    Page 18 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                 Planned     Actual   Planned Actual End           DOE        Other                                                                                           Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                 Frequncy                                                                             Status        POC                       Comments                      Org   Filters
                                                Orders, Permits etc)                          D/S/C                   Method                   Start Date Start Date End Date   Date              Req         Req                                                                                             Owner       Order

    267.0                                   CY09 403b Benefit Plan Audit                                                                                                                                                                         New requirement for 2009 forward                                          311.0

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

                                                                                                                                                                                                                                                                                                   KPMG        KPMG
    268.0                                   DOE Agreement Assessment                                                                                                                                                                                                                                                       312.0
                                            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

                                                                                                                                                                                                                                                                                                   OQBP        OQBP
    269.0                                   DOE Agreement Assessment                                                                                                                                                                                                                                                       313.0
                                            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

                                                                                                                                                                                                                                                                                                   OQBP        OQBP
    270.0                                   OMB A-123 Management                                                                                                                                                                                                                                                           314.0
                                            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
                                                                                                                                                                                                                                                                                                    IAD         IAD
    271.0                                   Tripartite Assessment - FESHM                                                                                                                                                                                                                                                  315.0
                                            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                                           316.0
                                                                                                                                                           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                                            317.0
                                                                                                                                                                                                                                             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-                                           318.0
                                            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
                                                                                                                                                                                                                                                                                                    FRA         FRA
    275.0                                   Review of Banking Agreement                                                                                    04/01/2010                04.30/2010                                               Required by Accounting Handbook                                              319.0
                                                                                                                                                           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                                                                                                                                                                                                                                                     320.0
                               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                                          321.0
                               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

                                                                                                                                                                                                                                                                                                    IAD         IAD
    279.0                                   FY12 Budget Validation                                                                                                                                                                           The FY11 Budget Validation was                                                322.0
                                                                                                                                                                                                                                             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                                          130.1
                               A       A                                       DOE             PPD         Project     IA,MA        Once       1/27/2010                                                                                                                                     PPD
                                            Operations
    281.0                                   Director's Review of MINERvA                                                                                                                                                                                                                                                   130.2
                                            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                                          130.3
                               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                                 130.4
                                            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




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                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment               Planned     Actual   Planned Actual End          DOE         Other                                                                                          Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                           Status        POC                  Comments                       Org    Filters
                                                Orders, Permits etc)                          D/S/C                  Method                 Start Date Start Date End Date   Date             Req          Req                                                                                            Owner       Order

    284.0                                   Review of the Electron                                                                                                                                                                       JH check with Michelle for any                                                130.5
                                            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                                               130.6
                                                                                  DOE          PPD                     TP                   7/15/2010                                                                                    affect all organizatons?                     PPD
                                            Review
    286.0                                   DOE Review of MAP (Muon                                                                                                                                                                      JH to compare to AD & TD                                                      130.7
                                                                                  DOE          PPD                     TP                   8/24/2010                                                                                                                                 PPD
                                            Accelerator Program)
    287.0                                   (Tentative) DOE HEP Site Visit                                                                                                                                                               Tentative Is this just a visit ? KS                                           130.8
                                                                                  DOE                                  TP                   8/23/2010               8/25/2010                                                                                                         PPD


    288.0                                   Fork Lift Training for required                                                                                                                                                              Every group using a Fork Lift.                                                131.0
                                            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                                                             131.1
                                            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                                                             131.2
                                            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                                                    131.3
                                            Hazard Communication/Lab
                                            Standard Assessment
                               A       A                                          DOE          PPD          EH         TP                   2/28/2011                                                                                                                                 PPD



    292.0                                   Tripartite - ES&H review of                                                                                                                                                         McHugh                                                                                 131.4
               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,                                                                                                                                                                                                                               Tripartite     ES&H
    293.0                                   Directors CD-1 Review of                                                                                                                                                                                                                                                   131.5
                                                                                  DIR          PPD        Project      MA                                                                       N                                                                                     PPD
                                            LBNE / DOE 413.3
    294.0                                   DOE CD-1 Review of LBNE /                                                                                                                                                                                                                                                  131.6
                                            DOE 413.3
                               A       A                                          DOE          PPD        Project     IA,MA                 12/7/2010               12/9/2010                   Y                                                                                     PPD


    295.0                                   FSO Chemical Safety Review –                                                                                                                                                                                                                                               131.7
                                            Hazard Communication/Lab
                                            Standard Assessment                   DOE          PPD          EH         TP                   2/28/2011                                                                                                                                 PPD


    296.0                                   Director's Progress Review of                                                                                                                                                                                                                                              131.8
                                            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                                                                                                                                                                                                                                                131.9
                                            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                                           132.0
                                            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-                                                                                                                                                                                                                                                         132.1
                                            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                                          133.0
                                                                                                                                                                                                                                         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.                                              134.0
                                       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                                            134.1
               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
                                                                                                                                                                                                                                                                                            Tripartite     ES&H
                                                                                                                                                                                                                                         more).
    303.0                                   Director's Review of Project X        DIR          PPD        Project      DA                   9/20/2010               9/24/2010                   N                                                                                     PPD                              134.2
                                            initial configuration



85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                               Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                        Page 20 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org                Assessment                 Planned     Actual   Planned Actual End          DOE         Other                                                                                  Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                   Systems                Frequncy                                                                             Status      POC                 Comments                   Org    Filters
                                                Orders, Permits etc)                          D/S/C                     Method                   Start Date Start Date End Date   Date             Req          Req                                                                                    Owner       Order

    304.0                                   Test Beam scientific output                                                                                                                                                                    Output / Reports                                                         135.0



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




    305.0                                   DOE Agreement Assessment                                                                                                                                                                       3rd Q Annually                                                           137.0
                                            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


                                                                                                                                                                                                                                                                                           OQBP         OQBP
    306.0                                   DOE Agreement Assessment                                                                                                                                                                       3rd Q Annually                                                           138.0
                                            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


                                                                                                                                                                                                                                                                                           OQBP         OQBP
    307.0                                   DOE Agreement Assessment                                                                                                                                                                       3rd Q Annually                                                           139.0
                                            Report (DOE/OQBP lists).
                                            Programmatic Operations &
                               A       A    Maintenance - MiniBooNE              PPD             PPD           QA         MA         Annually    4/1/2010                7/31/2010                   Y                                                                              PPD
                                            Operations

                                                                                                                                                                                                                                                                                           OQBP         OQBP
    308.0                                   DOE Agreement Assessment                                                                                                                                                                       3rd Q Annually                                                           140.0
                                            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

                                                                                                                                                                                                                                                                                           OQBP         OQBP
    309.0                                   Director's NOvA CD3 Review                                                                                                                                                                                                                                              141.1
                                                                                 DIR             PPD         Project      DA          Once                                                           N                  Complete                                                    PPD

    310.0                                   DOE Lehman NOvA CD3                                                                                                                                                                            KS - why less Director's and Lehman                                      142.0
                               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                                                                                                                                                                                                                                                142.1
                                            MicroBooNE                           DIR             PPD         Project      DA          Once                                                           N                   Complete                                                   PPD

    312.0                                   DOE CD1 Review of                                                                                                                                                                                                                                                       143.0
                               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                                                                                                                                                                                                                                                      143.1
                                            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                                           144.0
                               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                                ISO 14001   ISO 14002
    315.0                                   OHSAS 18001 Occupational                                                                                                                                                                       Simultaneus but separate audit                                           144.1
                                            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

                                                                                                                                                                                                                                                                                           OHSAS       OHSAS
    316.0                                   D-Zero complex (includes                                                                                                                                                                       Walkthroughs                                                             145.0
                                            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/                                                                                                                                                                                                                                                  146.0
                                            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                                                       147.0
                                                                                             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                                                       148.0
                                            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




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                    Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                Page 21 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment               Planned     Actual   Planned Actual End           DOE         Other                                                                                     Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                          Status       POC                      Comments                    Org   Filters
                                                Orders, Permits etc)                          D/S/C                  Method                 Start Date Start Date End Date   Date              Req          Req                                                                                       Owner       Order

    320.0                                   MINOS, MiniBooNE, Main                                                                                                                                                                          DOE, PPD, Bldg Mgr                                                     149.0
                                            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                                                     150.0
                                            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                                                     151.0
                                                                            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                                                     152.0
                                                                            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                                                     153.0
                                                                            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                           154.0
    326.0                                   Meson Test, MAB, MC7, MC8                                                                                                                                                                       DOE, PPD, Bldg Mgr                                                     155.0
                                                                            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                                     156.0
                                            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                                    157.0
                                            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                                                          158.0
                                            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) /                                                                                                                                                                                                                                          159.0
                                            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) /                                                                                                                                                                                                                                          160.0
                                            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) /                                                                                                                                                                                                                                          161.0
                                            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) /                                                                                                                                                                                                                                          162.0
                                            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) /                                                                                                                                                                                                                                          163.0
                                            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) /                                                                                                                                                                                                                                          164.0
                                            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                                                                                                                                                                                                                                                                 165.0
                                            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) /                                                                                                                                                                                                                                          166.0
                                            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) /                                                                                                                                                                                                                                          167.0
                                            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) /                                                                                                                                                                                                                                          168.0
                                            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) /                                                                                                                                                                                                                                          169.0
                                            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) /                                                                                                                                                                                                                                          170.0
                                            FESHM 6015
                                            EAO - Training Center           ES&H,PPD           PPD          EM         MA          Once     9/15/2010                9/15/2010                   N         NFPA                                                                      PPD




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                   Page 22 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                Planned     Actual   Planned Actual End           DOE         Other                                                                                                  Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                             Status       POC                      Comments                           Org       Filters
                                                Orders, Permits etc)                          D/S/C                  Method                  Start Date Start Date End Date   Date              Req          Req                                                                                                    Owner       Order

    342.0                                   Highly Protected Risk (HPR) /                                                                                                                                                                                                                                                        171.0
                                            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) /                                                                                                                                                                                                                                                        172.0
                                            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) /                                                                                                                                                                                                                                                        173.0
                                            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) /                                                                                                                                                                                                                                                        173.0
                                                                            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        IAD         IAD
    347.0                                   KPMG Financial Statement                                                                                                                                                                         Alicia will send a list of all special process                                      174.0
                                            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
                                                                                                                                                                                                                                                                                                          IAD         IAD
    348.0                                   FRA Visiting Committee for                                                                                                                                                                       Inserted as placeholder . For FY11-                                                 318.0
                                            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




                                                                                                                                                                                                                                                                                                          FRA         FRA
    349.0                                   Fermilab Scientific Editorial                                                                                                                                                                                                                                                        301.0
                                            Review
                               A       A                                      OQBP                          QA          IA         Once      11/15/2010 12/30/2010                                N          QA                                                                               Sci/Proj
                                                                                                                                                                                                                                                                                                         OQBP        OQBP
    350.0                                   Division Head assessment of                                                                                                                                                                      JH JJC Global complete big A v                                                        2.0
                                            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,                                                           3.0
                                            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                                                                                                                                                                      DOE PEMPcovers ES&H, QA, &
                                                                                                                                                                                                                                             Assessment Assessment Report                                                          4.0
                                            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,                                                           5.0
                                            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,                                                           6.0
                                            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.




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                                Page 23 of 31
                                             Subject / Drivers (Laws, Regs,                 Assessed Org                  Assessment                    Planned     Actual   Planned Actual End          DOE         Other                                                                                Other List   Orig.
    No.     Consolidation    Extra   Code                                   Performing Org.                     Systems                  Frequncy                                                                              Status      POC               Comments                   Org    Filters
                                                 Orders, Permits etc)                          D/S/C                       Method                      Start Date Start Date End Date   Date             Req          Req                                                                                  Owner       Order

    355.0                                    Division Head assessment of                                                                                                                                                                         Assessment covers ES&H, QA,                                              7.0
                                             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                                          8.0
                                             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.



                                                                                                                                                                                                                                                                                               OQBP       Tripartite
    357.0                                    DOE Agreement Assessment                                                                                                                                                                            Inserted by JH from Bob's list sent                                      8.0
                                             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



                                                                                                                                                                                                                                                                                               OQBP         OQBP
    358.0                                    OSHA-style inspection                                                                                                                                                                               Internally developed and conducted                                       9.0
                                             (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                                     10.0
                                             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                                                            11.0
                                             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                                           12.0
                                             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                                         13.0
                                             up review                                                                                                                                                                                           HOLD
                                                                                      DIR                                                                                                                                                                                               TD


    363.0                                    APUL - DOE CD-1 review                                                                                                                                                                              On HOLD pending advances in                                             14.0
                                                                                                                                                                                                                                                 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                                          15.0
                                             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
                                                                                                                                                                                                                                                                                              ISO 14001   ISO 14002




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                          Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                              Page 24 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                 Planned     Actual   Planned Actual End          DOE         Other                                                                               Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                             Status      POC               Comments                    Org   Filters
                                                Orders, Permits etc)                          D/S/C                  Method                   Start Date Start Date End Date   Date             Req          Req                                                                                 Owner       Order

    365.0                                   OHSAS 18001 Occupational                                                                                                                                                                    Simultaneus but separate audit                                         15.1
                                            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




                                                                                                                                                                                                                                                                                      OHSAS      OHSAS
    366.0                                   Vulnerability Study                                                                                                                                                                         3 Yr. Cycle - Criticality to mission,                                  16.0
                                                                                                                                                                                                                                        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                                         18.0
                                            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                                         19.0
                                            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                                         20.0
                                            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                                         21.0
                                            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                                         22.0
                                            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                                         23.0
                                            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                                         24.0
                                            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                                         25.0
                                            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                                         26.0
                                            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                                         27.0
                                            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                                         28.0
                                            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                                         29.0
                                            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                                         30.0
                                            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                                         31.0
                                            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                                         32.0
                                            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




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                             Page 25 of 31
                                             Subject / Drivers (Laws, Regs,                 Assessed Org                Assessment                   Planned     Actual   Planned Actual End          DOE         Other                                                                               Other List   Orig.
    No.     Consolidation    Extra   Code                                   Performing Org.                   Systems                  Frequncy                                                                                Status      POC              Comments                  Org   Filters
                                                 Orders, Permits etc)                          D/S/C                     Method                     Start Date Start Date End Date   Date             Req          Req                                                                                 Owner       Order

    382.0                                    Highly Protected Risk (HPR) /                                                                                                                                                                       HPR - building addresses - how                                      33.0
                                             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                                      34.0
                                             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                                      35.0
                                             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                                      36.0
                                             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                                      37.0
                                             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                                      38.0
                                             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                                      39.0
                                             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.                                          40.0
                                             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.                                        IAD         IAD
    390.0                                    Internal audit of ProCard use                                                                                                                                                                       Conducted when requested Is this                                    41.0
                                                                                                                                                                                                                                                 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                                         42.0
                                             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                                                                                      43.0
                                                                                                                                                                                                                                                                                      TD

    393.0                                    VTS-2 Procurement Readiness                                                                                                                                                                                                                                             44.0
                                         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                                       45.0
                                         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                                                                                                                                                                                                                                               46.0
                                         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                                                                                                                                                                                                                                            47.0
                               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                                                                                                                                                                                                                                               48.0
                                             CD-1)

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




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                       Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                             Page 26 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                   Planned     Actual   Planned Actual End          DOE         Other                                                                                          Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                 Frequncy                                                                              Status         POC                    Comments                      Org    Filters
                                                Orders, Permits etc)                          D/S/C                  Method                     Start Date Start Date End Date   Date             Req          Req                                                                                            Owner       Order

    398.0                                   Project X Director's Review                                                                                                                                                                         JR - Why does this not say                                                  49.0
                                            (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                                          50.0
                               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                                                50.1
                               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.                                               51.0
                               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                                                52.0
                               A       A                                       TD              TD           OT         MA        As Requested   2/22/2010              2/26/2010                    N                  complete                                                              TD

    403.0                                   ILC Splittable Conduction                                                                                                                                                                                                                                                       53.0
                                            Cooled Quadrupole
                               A       A                                       TD              TD           OT         MA        As Requested   3/1/2010                3/1/2010                    N                  complete                                                              TD


    404.0                                   Mu2E Magnet                                                                                                                                                                                                                                                                     54.0
                               A       A                                       TD              TD           OT         MA        As Requested   10/1/2010              10/31/2010                   N                 On Schedule                                                            TD


    405.0                                   LARP DOE Review                                                                                                                                                                                                                                                                 55.0

                               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?                                                56.0
                               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                                                                                                                                                                                                                                                           57.0

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


    408.0                                   ORC review process for                                                                                                                                                                                                                                                          58.0
                                            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-                                        318.0
                                            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                                                  FRA         FRA
    410.0                                   DOE Agreement Assessment                                                                                                                                                                            Jeff to ask Bob G if this can by moved to                                  234.0
                                            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

                                                                                                                                                                                                                                                                                                   OQBP        OQBP
    411.0                                   DOE Agreement Assessment                                                                                                                                                                                                                                                       235.0
                                            Report (DOE/OQBP lists). /
                               A       A    Benefits Planning &               WDRS            WDRS          CA         MA          Annual       7/1/2010               9/30/2010                    Y         OQBP                                                                          WDRS
                                            Administration
                                                                                                                                                                                                                                                                                                   OQBP        OQBP
    412.0                                   DOE Agreement Assessment                                                                                                                                                                            Employment Department and the                                              236.0
                                            Report (DOE/OQBP lists). /                                                                                                                                                                          Employee Relations Department
                               A       A                                      WDRS            WDRS          CA         MA          Annual       7/1/2010               9/30/2010                    Y         OQBP                                                                          WDRS
                                            Employment
                                                                                                                                                                                                                                                                                                   OQBP        OQBP
    413.0                                   DOE Agreement Assessment                                                                                                                                                                                                                                                       237.0
                               A       A    Report (DOE/OQBP lists). /        WDRS            WDRS          CA         MA          Annual       7/1/2010               9/30/2010                    Y         OQBP                                                                          WDRS
                                            Compensation                                                                                                                                                                                                                                           OQBP        OQBP
    414.0                                   DOE Agreement Assessment
                               A       A    Report (DOE/OQBP lists). /        WDRS            WDRS                     MA          Annual                                                           Y         OQBP                                                                          WDRS
                                            Equal Opportunity / Counseling                                                                                                                                                                                                                         OQBP        OQBP
    415.0                                   DOE Agreement Assessment
                               A       A    Report (DOE/OQBP lists). /        WDRS            WDRS                     MA          Annual                                                           Y         OQBP                                                                          WDRS
                                            Diversity                                                                                                                                                                                                                                              OQBP        OQBP




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                   Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                        Page 27 of 31
                                            Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                 Planned     Actual   Planned Actual End           DOE         Other                                                                                                  Other List   Orig.
    No.     Consolidation    Extra   Code                                  Performing Org.                Systems                Frequncy                                                                             Status        POC                        Comments                         Org    Filters
                                                Orders, Permits etc)                          D/S/C                  Method                   Start Date Start Date End Date   Date              Req          Req                                                                                                    Owner       Order

    416.0                                   Participants Evaluation of                                                                                                                                                                           Statistical summary of average responses to                                      238.0
                                            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-                                              239.0
                                            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                                                      FRA          OQBP
    418.0                                   Annual review of QuarkNet                                                                                                                                                                            Postponed due to weather                                                         240.0
                                            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                                                   241.0
                               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    KPMG          KPMG        242.0
    421.0                                   Federal Accounting Standards                                                                                                                                                                                                                                                          243.0
                               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                                                             244.0
                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 -                                                                                                                                                                                                                                                                 245.0
                                            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 -                                                                                                                                                                                                                                                                 246.0
                                                                                                                                               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,                                                                                                                                                                                                                                                           247.0
                                            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                                        248.0
                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                                               248.1
                                                                               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   Tripartite     ES&H        248.2
    429.0                                   403B Retitrement Plan                                                                                                                                                                                Required by regulation                                                           248.3
                                                                                                                                                                                                                                                 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)
                                                                                                                                                                                                                                                                                                        KPMG          KPMG
    430.0                                   Benefits Value Study                                                                                                                                                                                                                                                                  248.4
                                                                              Hewitt & Assoc   WDRS                   IA,MA                                                                        Y                                                                                            WDRS

    431.0                                   Balanced Scorecard                                                                                                                                                                                   No longer a PEMP requirement but                                                 248.5
                                                                                 WDRS          WDRS         CA         MA         Annual                                                                                                                                                        WDRS
                                                                                                                                                                                                                                                 continued for value
    432.0                                   Safety Walk through - Training                                                                                                                                                                                                                                                        249.0
                                                                                 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 #                                           249.1
                                                                                 WDRS          WDRS         CA         MA         Annual                                                                                                                                                        WDRS
                                                                                                                                                                                                                                                 interviews, Y # EEO claims etc)
    434.0                                   HR 2010 Review of HR                                                                                                                                                                                                                                                                  249.2
                                                                                 WDRS          WDRS         CA         MA          Once                                                                                                                                                         WDRS
                                            Customer Services
    435.0                                   Benefits Function - third party                                                                                                                                                                      Outside consultant                                                               249.3
                                                                                 WDRS          WDRS         CA        MA,TP                                                                                                                                                                     WDRS
                                            assessment
    436.0                                   Assessment of Records                                                                                                                                                                                Added to satisfy an As-Is CAP                                                    250.0
                                                                                 WDRS          WDRS         QA         MA                                                                                                                                                                       WDRS
                                            department




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2010)                                                                                                  Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                                Page 28 of 31
                                                                                                                                                                                                                                                                 Quarterly
      Consolidation OQBP                 Subject                            Performing    Assessed         Assessment           Planned     Actual   Planned             Actual    DOE   Other                     Comments                   List Owner List
  No.                              A/a                                                             Systems            Frequncy                                                                    Status     POC                                                 DOE/OQBP
       candidate     Eval                                                      Org.      Org D/S/C          Method             Start Date Start Date End Date           End Date   Req    Req                                                            Owner
                                                                                                                                                                                                                                                                 Lists
  136       WDRS         WDRS WDRSWDRS                                        WDRS        WDRS      WDRS     WDRS       WDRS       WDRS         WDRS        WDRS         WDRS      WDRS WDRS      WDRS             WDRS                       WDRS
  137                             2009 Self-Assessment for Office                                                                                                                                 not yet                                     WDRS
                               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                                                                                                                                                                                    WDRS
                               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                                                                                                                                                                         WDRS
                                     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                                                 WDRS
                                         Compensation Department
  141                                    Professional Development                                                                                                                                                                             WDRS
                                         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                                                         WDRS
  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   WDRS
                                         DOE and NSF
  144                                A   Annual Benefits Cost Study           WDRS        WDRS     CA/OT      MA        Annual    7/1/2010               7/30/2010                  Y                                                         WDRS
  145                                A   Retirement Plan Audit                WDRS        WDRS     CA/OT     MA/TP      Annual    5/1/2010              10/30/2010                  N                                                         WDRS
  146                                A   FAS 106 Liability Audit              WDRS        WDRS     CA/OT     MA/TP      Annual    2/1/2010    2/15/2010 9/30/2010                   N                                                         WDRS
  147                                    Safety Walk through - Lederman                                                                                                                                                                       WDRS
                                         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                                                                                                                                                                     WDRS
                                         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        WDRS       EH       MA        Annual    9/9/2010                  9/9/2010                N    ES&H
                                         Center/Recreational Facility




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2011)                                                                       Co=Consolidate Organization Cs= Consolidated Systems                                                                                       Page 29 of 31
  No.                                            Subject                                                                                                                                                                                                                  Filters   Quarterly
           Consolidation        OQBP                                              Performing Assessed Org             Assessment                Planned     Actual       Planned       Actual     DOE   Other
                                           A/a                                                              Systems                Frequncy                                                                      Status     POC              Comments        List Owner             DOE/OQBP
            candidate            Eval                                                Org.       D/S/C                  Method                  Start Date Start Date     End Date     End Date    Req    Req
                                                                                                                                                                                                                                                                                    Lists
    168                                       WDRS                                                                                                                                                                                WDRS                       WDRS
               WDRS                                                                 WDRS        WDRS        WDRS        WDRS        WDRS         WDRS        WDRS         WDRS         WDRS       WDRS WDRS      WDRS
                               WDRS       WDRS
    169                                       2009 Self-Assessment for                                                                                                                                                                                       WDRS
                                              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                                                                                                                                                                                       WDRS
                                              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                                                                                                                                                                                   WDRS
                                              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        WDRS          CA         MA         Annual      7/1/2010                 9/30/2010                 Y    OQBP
                                          A   Compensation Department
    173                                       Professional Development                                                                                                                                                                                       WDRS
                                              Program Participatants                WDRS        WDRS                     MA         Annual     10/1/2009                 9/30/2010                 N
                                              evaluate programs
    174                                   A   Annual Peer Review of HR              WDRS        WDRS          OT       MA/TP        Annual      8/1/2010                 8/30/2010                 N                                                         WDRS
    175                                       Annual review of QuarkNet                                                                                                                                                           Postponed due to weather   WDRS
                                                                                    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                                                         WDRS
    177                                   A   Retirement Plan Audit                 WDRS        WDRS        CA/OT      MA/TP        Annual      5/1/2010                10/30/2010                 N                                                         WDRS
    178                                   A   FAS 106 Liability Audit               WDRS        WDRS        CA/OT      MA/TP        Annual      2/1/2010    2/15/2010   9/30/2010                  N                                                         WDRS
    179                                       Safety Walk through - 15th                                                                                                                                                                                     WDRS
                                                                                    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 -                                                                                                                                                                                          WDRS
                                              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        WDRS          EH         MA        Biennial    5/13/2010                 5/13/2010                 N    ES&H
                                              Children’s Center
    182                                       Safety Walk through - Pool,                                                                                                                                                                                    WDRS
                                              Kuhn Barn (downstairs), Day           WDRS        WDRS          EH         MA         Annual      7/8/2010                 7/8/2010                  N    ES&H

    183                                       Camp, Anderson Barn, and
                                              Safety Walk through - 15th                                                                                                                                                                                     WDRS
                                                 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                                                 WDRS
                                                 Center/Recreational Facility
    185                                          Safety Walk through -                                                                                                                                                                                       WDRS
                                                 Children’s Center                  WDRS        WDRS          EH         MA        Biennial    11/11/2010               11/11/2010                 N    ES&H




85467e36-e415-428e-8eb3-4cf0e2ac2412.xlsx CY(2012)                                                                                 Co=Consolidated Organizations Cs=Consokidated Systems                                                                                               Page 30 of 31
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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