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					                                                                                  INSTRUCTIONS for updating the FY 2012 (G
           Scroll down to see directions under each column heading.               Make sure no filters are active. In picture belo

           Your 2010 (or 2011) assessments are listed for reference
           Overwrite or just add dates, insert or delete as appropriate

                                                                                  On the FY2012 tab click on the filter button in t
                                                                                  You may wish to see how others may have en


                                            Subject / Drivers
                                                                Performing Assessed   CAS
   No.      Consolidation        Code         (Laws, Regs,
                                                                   Org.    Org D/S/C Systems
                                           Orders, Permits etc)
Numbers to be assigned by OQBP, used most by OQBP
May be used after multiple sorts or filters when you want to restore to the original sequence

            Consolidation
           In this context, consolidation means that multiple organizations benefit from "are credited" by participating together o
           If the assessment is consolidated (multiple organizations particpating such as DOE, ESH, AD for tripartites, or IAD, K
           If the assessment is consolidated with another item enter C-item# (ex: C123). No (example 123) is in the "No." colum
           When in doubt enter nothing and consult with affected parties and your QAR

                                 Code
                                   A for formal Assessment or Audit
                                   DR for Drill
                                   IN for Inspection
                                   MO for Monitoring
                                   MT for Maintenance
                                   OT for Other not previously identified
                                   RP for Report
                                   TS for Test
                                   WC for Work process Control
                                   WT for Walk Through


                                            Subject / Drivers
                                              (Laws, Regs,
                                           Orders, Permits etc)

                                           What requires this to be done (ex: ISO 14000, HPR / FESHM 6015, etc)


                                                                    Performing
                                                                       Org.

                                                                    Who conducts the assessment? (example Property & Invent


                                                                                    Assessed
                                                                                   Org D/S/C
Who is being assessed? BSS-Transportation

              CAS
             Systems
             More than one can apply (exam

                CG for Corporate Governan
                SH for StakeHolder
                PP for Performance Plannin
                SS for Science
                FI for Finance
                BO for Business Operation
                EH for Environment, Safety
                QA for Quality
                EG for Engineering
                IT for Information Technol
                CM for Communication




                          SA for Special A
NS for updating the FY 2012 (Green) Tab
filters are active. In picture below - Status, POC and Comments are not filtered but Org is (see icon)




2 tab click on the filter button in the column name Deselect All and Select your Organization (such as AD, FI, CS etc.
to see how others may have entered their data by having no active filters so all entries are visible. If still unclear contact your QAR or OQBP


                                           Planned
             Assessment                              Date           DOE        Other
                        Frequency           Start                                          Status        POC     Comments
              Method                               Complete         Req?       Req?
                                            Date




edited" by participating together on an assessment.
 ESH, AD for tripartites, or IAD, KPMG, BSS for annual FI assessments enter "Co"
example 123) is in the "No." column.




 FESHM 6015, etc)




ent? (example Property & Inventory Control), NSF Registrar, DOE, OQBP)
assessed? BSS-Transportation Services, ES&H, CS-Cybersecurity, Fermilab, TD




More than one can apply (example EH,QA)

    CG for Corporate Governance
    SH for StakeHolder
    PP for Performance Planning
    SS for Science
    FI for Finance
    BO for Business Operations
    EH for Environment, Safety & Health (ES&H)
    QA for Quality
    EG for Engineering
    IT for Information Technology
    CM for Communication

            Assessment
             Method
           More than one can apply (example on tripartities MA,IA)

              DA for Fermilab Director’s Assessments
              IA for Independent Assessments
              IAD for Internal Audit Department
              MA for Management Assessments
              SA for Special Assessment
              SV for Surveillances
              TP for Third Party Assessments


                          Frequency
                          How often done? (example: One time, as requested, monthly, quarterly, 3-years)

                                        Planned
                                         Start
                                         Date
                                       Enter if planned, in progress or completed
                                       For assessments that are biennial, or triennial (that skip FY2012), enter the expected year it will oc


                                                     Date
                                                   Complete
                                                  Enter if draft report delivered to assessed organization

                                                                  DOE
                                                                  Req?
                                                               Y if required by DOE, else N
 Other
 Req?
Examples: ISO, OQBP, KPMG

          Status
         Examples Planned, In Progress, Complete, Postpon

                     POC
                   Single Point of Contact for questions


                              Comments
                              Descriptive field & OQBP no



                                            D/S/C
contact your QAR or OQBP


                               Other
                                       Original
            Org      Filters    List
                                        Order
                               Owner
the expected year it will occur next (example 2013, or 2014)
 rogress, Complete, Postponed, Cancelled



 of Contact for questions




Descriptive field & OQBP notes

                Org
             D/S/C

                             Filters
                            For OQBP
                                       Other
                                        List
                                       Owner
                                       For OQBP

                                                  Original
                                                   Order
                                                  For OQBP
                                                           Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                              Date         DOE                                                                                                            Other List   Original
                   No.         Consolidation        Code                                  Performing Org.                Systems                 Frequency        Planned Start Date                             Other Req?     Status         POC                       Comments                   Org    Filters
                                                               Orders, Permits etc)                          D/S/C                  Method                                               Complete       Req?                                                                                                            Owner        Order

                      1.0                                                                                                                                                                                                                                   Simultaneus but separate audit                                                1.0
                                                             ISO 14001 Environmental
                                                     A                                        NSF registrar   Fermilab   EH,QA       MA,TP       Semiannual                                               N           ISO     On Schedule                   teams 2010 is Trienniel                 AD
                                                             Mgmt Systems assessment
                                                                                                                                                                                                                                                            Recertification                               ISO 14001    ISO 14001
                      2.0                                                                                                                                                                                                                                   Simultaneus but separate audit                                                2.0
                                                            OHSAS 18001 Occupational
                                                     A                                        NSF registrar   Fermilab   EH,QA       MA,TP       Semiannual                                               N         OHSAS     On Schedule                   teams 2010 is Trienniel                 AD
                                                             Health Safety assessment
                                                                                                                                                                                                                                                            Recertification                                OHSAS        OHSAS
                      3.0                                                                                                                                                                                                                                                                                                                 3.0
                                                                 DOE Agreement Self-
                                                           assessment Report (DOE/OQBP
                                                           lists). Programmatic Operations
                                                     A                                            AD            AD         All        MA        Annual 2nd Qtr          1/1/2012                          Y         OQBP                       Dixon                                                AD
                                                             & Maintenance - Accelerator
                                                              Operations / Maintenance –
                                                                      Roger Dixon
                                                                                                                                                                                                                                                                                                           OQBP          OQBP
                      4.0                                                                                                                                                                                                                                   Here Fermilab means Paul C                                                    4.0
                                                                 DOE Agreement Self-
                                                                                                                                                                                                                                                            surveys lab-wide
                                                           assessment Report (DOE/OQBP
                                                           lists). Programmatic Operations
                                     Co              A      & Maintenance - Engineering           AD          Fermilab     All        MA        Annual 2nd Qtr          1/1/2012                          Y         OQBP                     Czarapata                                              AD
                                                              (Accelerators / Detectors) –
                                                               Paul Czarapata Quarterly
                                                                    (DOE/OQBP list)
                                                                                                                                                                                                                                                                                                           OQBP          OQBP
                      5.0                                                                                                                                                                                                                                                                                                                 5.0
                                                                 DOE Agreement Self-
                                                           assessment Report (DOE/OQBP
                                                           lists). Programmatic Operations
                                                     A         & Maintenance - Magnet             AD            AD         All        MA        Annual 2nd Qtr          1/1/2012                          Y         OQBP                     Apollinari                                             AD
                                                           design, Construction & Testing
                                                                   - Giogio Apollonari
                                                                    (DOE/OQBP list)
                                                                                                                                                                                                                                                                                                           OQBP          OQBP
                      6.0                                                                                                                                                                                                                                   Goal: To review how well AD has                                               6.0
                                                                                                                                                                                                                                                            implemented the requirements of
                                                                                                                                                                                                                                                            FESHM 8031 Oil Pollution Prevention
                                                                                                                                                                                                                                                            chapter. This chapter addresses the
                                                                                                                                                                                                                                                            EPA requirement to have a Spill
                                                                                                                                                                                                                                                            Prevention, Control and
                                                                                                                                                                                                                                                            Countermeasure program. The
                                                               Tripartite Assessment                                                                                                                                                                        assessment will review the Fermilab
                                                                                                                                                                                                                                              Sylvia        program and determine how well AD
                                     Co              A         SPCC Implementation           ES&H,AD,DOE        AD         EH      IA,MA,TP        Annual             11/15/2011         4/5/2012         Y                    Complete                                                             AD
                                                                                                                                                                                                                                              Wilson        has implemented its requirements.
                                                                   FESHM 8031
                                                                                                                                                                                                                                                            A secondary goal of the assessment is
                                                                                                                                                                                                                                                            to team up with PPD and CD to serve
                                                                                                                                                                                                                                                            as a model on how multiple divisions
                                                                                                                                                                                                                                                            can work together when performing
                                                                                                                                                                                                                                                            tripartite assessments.

                                                                                                                                                                                                                                                                                                          Tripartite     ES&H


                            Olive green = changes
                              suggested by IAD

                      7.0                                                                                                                                                                                                                                   KPMG for Cindy Conger CFO.                                                    7.0
                                                                                                                                                                                                                                                            Alicia Filak - Internal audit
                                                                                                                                                                                                                                                            department (IAD) is tasked with
                                                            KPMG Financial Statement                                                                                                                                                                        assessing special process spares
                                                     A     Audit & Special Process Spares     IAD,KPMG          AD         FI      IA,MA,TP        Annual                                                 Y          Fermi                                  inventory annually per Alicia.          AD
                                                                  (SPS) Inventory                                                                                                                                                                           Different organizations selected
                                                                                                                                                                                                                                                            annually but always TD . AD &
                                                                                                                                                                                                                                                            FESS for SPS (per accounting)..
                                                                                                                                                                                                                                                                                                            IAD           IAD
                      8.0                                   Dept Heads Inspections as per                                                                                                                                                                                                                                                 8.0
                                                     IN      ADSP-02-0401 sec 3.1.2 ...         AD,DOE          AD         EH        MA,TP          Once               1/17/2012                          Y                                 J. Theilacker                                           AD
                                                               focus is on Cryogenics
                      9.0                                   Dept Heads Inspections as per                                                                                                                                                                                                                                                 9.0
                                                     IN      ADSP-02-0401 sec 3.1.2 ...         AD,DOE          AD         EH        MA,TP          Once               1/26/2012                          Y                                  J. Patrick                                             AD
                                                                 focus is on Controls
                    10.0                                    Dept Heads Inspections as per                                                                                                                                                                                                                                                10.0
                                                     IN      ADSP-02-0401 sec 3.1.2 ...         AD,DOE          AD         EH        MA,TP          Once               1/31/2012                          Y                                   J. Reid                                               AD
                                                                    focus is on RF
                    11.0                                    Dept Heads Inspections as per                                                                                                                                                                                                                                                11.0
                                                     IN      ADSP-02-0401 sec 3.1.2 ...         AD,DOE          AD         EH        MA,TP          Once                2/7/2012                          Y                                  M. Wendt                                               AD
                                                             focus is on Instrumentation
                    12.0                                    Dept Heads Inspections as per                                                                                                                                                                                                                                                12.0
                                                                                                                                                                                                                                            P. Hurh/M.
                                                     IN      ADSP-02-0401 sec 3.1.2 ...         AD,DOE          AD         EH        MA,TP          Once               2/16/2012                          Y                                                                                         AD
                                                                                                                                                                                                                                               Frett
                                                           focus is on Mechanical Support




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                         Page 10 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                       Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?   Status      POC          Comments   Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                       Owner        Order

                    13.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      13.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            2/23/2012                          Y                             C. Moore                  AD
                                                            focus is on External Beams
                    14.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      14.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once             3/1/2012                          Y                             D. Wolff                  AD
                                                               focus is on EE Support
                    15.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      15.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            3/13/2012                          Y                            S. Nagaitsev               AD
                                                               focus is on SRF Proton
                    16.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      16.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            3/22/2012                          Y                             M. Church                 AD
                                                              focus is on SRF Electron
                    17.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      17.0
                                                                                                                                                                                                                                 R. Dixon/D.
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once             4/3/2012                          Y                                                       AD
                                                                                                                                                                                                                                   Sigmon
                                                              focus is on Headquarters
                    18.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      18.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            4/12/2012                          Y                             C. Moore                  AD
                                                            focus is on External Beams
                    19.0                                   Dept Heads Inspections as per                                                                                                                                              I.                                                      19.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            4/19/2012                          Y                            Kourbanis/D                AD
                                                              focus is on Main Injector                                                                                                                                            . Morris
                    20.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      20.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            4/24/2012                          Y                            D. Johnson                 AD
                                                               focus is on Operations
                    21.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      21.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once             5/8/2012                          Y                             J. Annala                 AD
                                                                  focus is on Muon
                    22.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      22.0
                                                            ADSP-02-0401 sec 3.1.2 ...
                                                    IN                                     AD,DOE            AD           EH        MA,TP        Once            5/17/2012                          Y                             B. Pellico                AD
                                                             focus is on Proton Source
                                                                      (Booster)
                    23.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      23.0
                                                            ADSP-02-0401 sec 3.1.2 ...
                                                    IN                                     AD,DOE            AD           EH        MA,TP        Once            5/22/2012                          Y                             B. Pellico                AD
                                                             focus is on Proton Source
                                                                        (Linac)
                    24.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      24.0
                                                                                                                                                                                                                                 P. Hurh/M.
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once             6/5/2012                          Y                                                       AD
                                                                                                                                                                                                                                    Frett
                                                          focus is on Mechanical Support
                    25.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      25.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            6/14/2012                          Y                            J. Anderson                AD
                                                                  focus is on ES&H
                    26.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      26.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            7/10/2012                          Y                             J. Patrick                AD
                                                                 focus is on Controls
                    27.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      27.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            7/19/2012                          Y                              T. Kroc                  AD
                                                                   focus is on NTF
                    28.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      28.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            7/24/2012                          Y                            J. Theilacker              AD
                                                               focus is on Cryogenics
                    29.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      29.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once             8/7/2012                          Y                             M. Church                 AD
                                                              focus is on SRF Electron
                    30.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      30.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            8/16/2012                          Y                             C. Moore                  AD
                                                            focus is on External Beams
                    31.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      31.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            8/21/2012                          Y                             D. Wolff                  AD
                                                               focus is on EE Support
                    32.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      32.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            8/28/2012                          Y                              J. Reid                  AD
                                                                    focus is on RF
                    33.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      33.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            9/13/2012                          Y                             M. Wendt                  AD
                                                            focus is on Instrumentation
                    34.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      34.0
                                                                                                                                                                                                                                 P. Hurh/M.
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            9/18/2012                          Y                                                       AD
                                                                                                                                                                                                                                    Frett
                                                          focus is on Mechanical Support
                    35.0                                   Dept Heads Inspections as per                                                                                                                                                                                                      35.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            9/27/2012                          Y                            S. Nagaitsev               AD
                                                               focus is on SRF Proton
                                                           Dept Heads Inspections as per
                                                                                                                                                                                                                                 R. Dixon/D.
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            10/9/2012                          Y                                                       AD
                                                                                                                                                                                                                                   Sigmon
                                                              focus is on Headquarters




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                    Page 11 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                                                   Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?    Status       POC                    Comments                   Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                                                   Owner        Order

                                                           Dept Heads Inspections as per
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once           10/11/2012                          Y                               C. Moore                                            AD
                                                            focus is on External Beams
                                                           Dept Heads Inspections as per
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once           10/18/2012                          Y                              D. Johnson                                           AD
                                                               focus is on Operations
                                                           Dept Heads Inspections as per
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once           10/23/2012                          Y                              J. Anderson                                          AD
                                                                 focus is on ES&H
                    36.0                                   Dept Heads Inspections as per                                                                                                                                                I.                                                                                36.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once           10/30/2012                          Y                              Kourbanis/D                                          AD
                                                              focus is on Main Injector                                                                                                                                              . Morris
                                                           Dept Heads Inspections as per
                                                            ADSP-02-0401 sec 3.1.2 ...
                                                    IN                                     AD,DOE            AD           EH        MA,TP        Once            11/8/2012                          Y                               B. Pellico                                          AD
                                                             focus is on Proton Source
                                                                      (Booster)
                    37.0                                   Dept Heads Inspections as per                                                                                                                                                                                                                                  37.0
                                                            ADSP-02-0401 sec 3.1.2 ...
                                                    IN                                     AD,DOE            AD           EH        MA,TP        Once           11/13/2012                          Y                               B. Pellico                                          AD
                                                             focus is on Proton Source
                                                                        (Linac)
                    38.0                                   Dept Heads Inspections as per                                                                                                                                                                                                                                  38.0
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once           11/27/2012                          Y                               J. Annala                                           AD
                                                                  focus is on Muon
                    39.0                                   Dept Heads Inspections as per                                                                                                                                                                                                                                  39.0
                                                                                                                                                                                                                                   P. Hurh/M.
                                                    IN      ADSP-02-0401 sec 3.1.2 ...     AD,DOE            AD           EH        MA,TP        Once            12/6/2012                          Y                                                                                   AD
                                                                                                                                                                                                                                      Frett
                                                          focus is on Mechanical Support
                    40.0                                                                                                                                                                                                                         The Accelerator Division Head is                                         40.0
                                                                                                                                                                                                                                                 continually engaged in scheduled
                                                                                                                                                                                                                                                 and ad hoc informal assessments of
                                                                                                                                                                                                                                                 Division performance. The
                                                                                                                                                                                                                                                 Division Head may also
                                                                                                                                                                                                                                                 commission reviews on an ad hoc
                                                                                                                                                                                                                                                 basis to examine specific problems -
                                                                                                                                                                                                                                                 - ES&H or programmatic -- which
                                                                                                                                                                                                                                                 may arise. The degree of formality
                                                                                                                                                                                                                                                 is dependent upon the subject of the
                                                    IN     Managment by Walk-around          AD          Departments      EH         MA         Weekly             Wed.                             N                                            review and is dertermined by the       AD
                                                                                                                                                                                                                                                 Division Head, as the level of
                                                                                                                                                                                                                                                 documentation required. The
                                                                                                                                                                                                                                                 Division Head also conducts
                                                                                                                                                                                                                                                 periodic (approximately weekly)
                                                                                                                                                                                                                                                 walk-through inspections of AD
                                                                                                                                                                                                                                                 areas. As needed, he involves other
                                                                                                                                                                                                                                                 division's management in these
                                                                                                                                                                                                                                                 walk-throughs. The tours focus on
                                                                                                                                                                                                                                                 facility condition and work
                                                                                                                                                                                                                                                 practices of AD personnel.
                    41.0                                  DOE Science & Technology                                                                                                                                                               Plans, reports etc.                                                      41.0
                                                    A                                       DOE            AD/PPD         SS         TP         Annual                                              Y                                                                                   AD
                                                                    Review
                    42.0                            A     QA assessment (Procurement)       OQBP             AD           QA          IA         Once             3/5/2012                                                                       12-QA-010                              AD    OQBP        OQBP            42.0
                    43.0                                   HPR Highly Protected Risk                                                                                                                                                             Is this DOE Req'd or not?                                                43.0
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual            4/5/2012         4/5/2012                             Complete   Bill James                                           AD
                                                                     AP 30
                                                           HPR Highly Protected Risk
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual            4/5/2012         4/5/2012                             Complete   Bill James                                           AD
                                                                     AP 10
                                                           HPR Highly Protected Risk
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual            4/5/2012         4/5/2012                             Complete   Bill James                                           AD
                                                                     AP 50
                                                           HPR Highly Protected Risk
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual            4/5/2012                                                         Bill James                                           AD
                                                               AP-0 Pbar Tgt Hall
                                                           HPR Highly Protected Risk
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual            4/5/2012         4/5/2012                             Complete   Bill James                                           AD
                                                              AP-50 GAS HOUSE
                                                           HPR Highly Protected Risk                                                                                                                                                          Includes Tornado Drill, March
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual           11/15/2012                                                        Bill James 2012 and Fire Evacuation, October         AD
                                                               Booster Glry East                                                                                                                                                              21012.
                                                           HPR Highly Protected Risk                                                                                                                                                          Includes Tornado Drill, March
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual           11/13/2012                                                        Bill James 2012 and Fire Evacuation, October         AD
                                                               Booster Glry West                                                                                                                                                              21012.
                                                           HPR Highly Protected Risk                                                                                                                                                          Includes Tornado Drill, March
                                                    IN     inspections / FESHM 6015        ES&H,AD           AD           EH         MA         Annual           11/13/2012                                                        Bill James 2012 and Fire Evacuation, October         AD
                                                              Booster Tower West                                                                                                                                                              21012.




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                Page 12 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                                             Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?    Status      POC                  Comments                Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                                             Owner        Order

                                                            HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           11/15/2012                                                        Bill James 2012 and Fire Evacuation, October   AD
                                                                Booster Tower East                                                                                                                                                            21012.
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           10/9/2012                                                         Bill James                                     AD
                                                                  AO-KICKER
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           7/31/2012                                                         Bill James                                     AD
                                                                    AOL,VAC
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           7/31/2012                                                         Bill James                                     AD
                                                                    AOL,VAC
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS A1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS A2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS A3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS A4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          6/19/2012                                                         Bill James                                     AD
                                                                      RS B0
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS B1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS B2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS B3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS B4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          9/11/2012                                                         Bill James                                     AD
                                                                     RS B48
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           6/19/2012                                                         Bill James                                     AD
                                                                      RS C0
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS C1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          9/11/2012                                                         Bill James                                     AD
                                                                     RS C17
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS C2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS C3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                      RS C4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          9/11/2012                                                         Bill James                                     AD
                                                                     RS C48
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          6/19/2012                                                         Bill James                                     AD
                                                                      RS D0
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James                                     AD
                                                                      RS D1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James                                     AD
                                                                      RS D2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James                                     AD
                                                                      RS D3


35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                         Page 13 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                      Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?    Status      POC        Comments   Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                      Owner        Order

                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS D4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          9/11/2012                                                         Bill James              AD
                                                                     RS D48
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           6/19/2012                                                         Bill James              AD
                                                                      RS E0
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                        E1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          9/11/2012                                                         Bill James              AD
                                                                     RS E17
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS E2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS E3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS E4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           6/19/2012                                                         Bill James              AD
                                                                      RS RF
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS F1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS F2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          9/11/2012                                                         Bill James              AD
                                                                      RS F23
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          9/11/2012                                                         Bill James              AD
                                                                      RS F27
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS F3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/18/2012         4/18/2012                            Complete   Bill James              AD
                                                                      RS F4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           6/19/2012                                                         Bill James              AD
                                                                     RS SSB
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                  MR AUX A1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                   MR ANC A2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                  MR AUX A3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                  MR AUX A4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                   MR AUX B1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                   MR AUX B2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                   MR AUX B3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                   MR AUX B4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James              AD
                                                                   MR AUX C1


35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                  Page 14 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                                             Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?    Status      POC                  Comments                Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                                             Owner        Order

                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                   MR AUX C2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                   MR AUX C3
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/10/2012         4/10/2012                            Complete   Bill James                                     AD
                                                                   MR AUX C4
                    44.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               44.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                  MR AUX D1
                    45.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               45.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                  MR AUX D2
                    46.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               46.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                  MR AUX D3
                    47.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               47.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                  MR AUX D4
                    48.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               48.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR AUX E1
                    49.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               49.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR AUX E2
                    50.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               50.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR AUX E3
                    51.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               51.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR AUX E4
                    52.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               52.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR AUX F1
                    53.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               53.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR ANC F2
                    54.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               54.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR ANC F3
                    55.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               55.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          4/18/2012                                                         Bill James                                     AD
                                                                   MR AUX F4
                    56.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               56.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual          5/15/2012                                                         Bill James                                     AD
                                                                     SERV G2
                    57.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               57.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           6/19/2012                                                         Bill James                                     AD
                                                                C-Zero Assembly
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Triannual          5/3/2012                                                         Bill James                                     AD
                                                            MESON SERV 4 408,414
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual            5/3/2012                                                         Bill James                                     AD
                                                                MES CEN CRYO
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Triannual          5/3/2012                                                         Bill James                                     AD
                                                                MESON SERV 7
                                                            HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual            5/3/2012                                                         Bill James 2012 and Fire Evacuation, October   AD
                                                           MESON WEST LAB (MW9)                                                                                                                                                               21012.
                                                            HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March
                                                            inspections / FESHM 6015                                                                                                                                                          2012 and Fire Evacuation, October
                                                    IN                                    ES&H,AD            AD           EH         MA         Annual            5/3/2012                                                         Bill James                                     AD
                                                             MESON W COUNTING                                                                                                                                                                 21012.
                                                                      (MW9)
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual           3/1/2012         3/1/2014                             Complete   Bill James                                     AD
                                                                   PRO SERV1
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual           3/1/2012         3/1/2012                             Complete   Bill James                                     AD
                                                                   PROSERV2
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Quarterly          3/1/2012         3/1/2012                             Complete   Bill James                                     AD
                                                           See Proton Pagoda FIMS 500

35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                          Page 15 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                                             Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?    Status      POC                    Comments              Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                                             Owner        Order

                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual           3/1/2012         3/1/2012                             Complete   Bill James                                     AD
                                                                   PRO SERV4
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Biannual           3/1/2012         3/1/2012                             Complete   Bill James                                     AD
                                                                   PRO SERV5
                                                            HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           5/15/2012                                                         Bill James 2012 and Fire Evacuation, October   AD
                                                                  N LAB NWA                                                                                                                                                                   21012.
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           5/15/2012                                                         Bill James                                     AD
                                                                N TARGET SERV
                                                            HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           10/4/2012                                                         Bill James 2012 and Fire Evacuation, October   AD
                                                                  NEW MUON                                                                                                                                                                    21012.
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/20/2012         3/20/2012                            Complete   Bill James                                     AD
                                                                       MI-8
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/20/2012         3/20/2012                            Complete   Bill James                                     AD
                                                                      MI-10
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/20/2012         3/20/2012                            Complete   Bill James                                     AD
                                                                      MI-12
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/29/2012         3/29/2012                            Complete   Bill James                                     AD
                                                                      MI-14
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/20/2012         3/20/2012                            Complete   Bill James                                     AD
                                                                      MI-20
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/20/2012         3/20/2012                            Complete   Bill James                                     AD
                                                                      MI-30
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/20/2012         3/20/2012                            Complete   Bill James                                     AD
                                                                      MI-31
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/29/2012         3/29/2012                            Complete   Bill James                                     AD
                                                                      MI-39
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/29/2012         3/29/2012                            Complete   Bill James                                     AD
                                                                      MI-40
                                                            HPR Highly Protected Risk
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           3/29/2012         3/29/2012                            Complete   Bill James                                     AD
                                                                      MI-50
                    58.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               58.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/27/2012         4/27/2012                            Complete   Bill James                                     AD
                                                                      MI-52
                    59.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               59.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/27/2012         4/27/2012                            Complete   Bill James                                     AD
                                                                      MI-60
                    60.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               60.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/27/2012         4/27/2012                            Complete   Bill James                                     AD
                                                                      MI-62
                    61.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               61.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           4/27/2012         4/27/2012                            Complete   Bill James                                     AD
                                                                      MI-65
                    62.0                                    HPR Highly Protected Risk                                                                                                                                                           Is this DOE Req'd or not?                                           62.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           9/18/2012                                                         Bill James                                     AD
                                                                       CHL
                    63.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               63.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Triannual         9/11/2012                                                         Bill James                                     AD
                                                                 SITE 17 BARN
                    64.0                                    HPR Highly Protected Risk                                                                                                                                                                                                                               64.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA        Triannual         9/11/2012                                                         Bill James                                     AD
                                                                 SITE 17 SHED
                    65.0                                    HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March                                         65.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           10/23/2012                                                        Bill James 2012 and Fire Evacuation, October   AD
                                                                  Cross Gallery                                                                                                                                                               21012.
                    66.0                                    HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March                                         66.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           10/9/2012                                                         Bill James 2012 and Fire Evacuation, October   AD
                                                                 Transfer Gallery                                                                                                                                                             21012.
                    67.0                                    HPR Highly Protected Risk                                                                                                                                                         Includes Tornado Drill, March                                         67.0
                                                    IN      inspections / FESHM 6015      ES&H,AD            AD           EH         MA         Annual           11/6/2012                                                         Bill James 2012 and Fire Evacuation, October   AD
                                                                      Linac                                                                                                                                                                   21012.


35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                          Page 16 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                                          Date         DOE                                                                                                             Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                 Systems                Frequency     Planned Start Date                             Other Req?       Status         POC                      Comments                    Org    Filters
                                                              Orders, Permits etc)                          D/S/C                   Method                                           Complete       Req?                                                                                                             Owner        Order

                    68.0                                  QA assessment (Design/Eng. &                                                                                                                                                                   12-QA-020                                                                    68.0
                                                    A                                      OQBP, DOE           AD          QA         IA          Once              9/3/2012                                                                                                                      AD
                                                                Work Processes)                                                                                                                                                                                                                           DOE         OQBP
                    76.0                                                                                                                                                                                                                                 Simultaneus but separate audit                                               76.0
                                                                                                                                                                                                                                                         teams 2010 is Trienniel
                                                                                                                                                                                                                                                         Recertification
                                                                                                                                                                                                                                                         FC General comment for all items
                                                            ISO 14001 Environmental
                                                    A                                      NSF registrar     Fermilab    EH,QA       MA,TP      Semiannual                                            N           ISO       On Schedule                  on this list, to list drivers (orders,   BSS
                                                            Mgmt Systems assessment
                                                                                                                                                                                                                                                         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
                    77.0                                                                                                                                                                                                                                 Simultaneus but separate audit                                               77.0
                                                           OHSAS 18001 Occupational
                                                    A                                      NSF registrar     Fermilab    EH,QA       MA,TP      Semiannual                                            N         OHSAS       On Schedule                  teams 2010 is Trienniel                  BSS
                                                            Health Safety assessment
                                                                                                                                                                                                                                                         Recertification                                 OHSAS       OHSAS
                    78.0                                                                                                                                                                                                                                 Listing of occupants in all                                                  78.0
                                                                                                                                                                                                             BSS-Security                                residences; used by Security
                                                   RP         Daily Occupancy List        Accommodations    BSS-Accom.     SS         MA          Daily                                               N                                   Jack Hawkins                                            BSS
                                                                                                                                                                                                                 SS                                      primarily on off-hours.
                                                                                                                                                                                                                                                         Daily Status Reports
                    79.0                                                                                                                                                                                                                                 Housing income/expenses.                                                     79.0
                                                   RP      Housing Operating Statement    Accommodations    BSS-Accom.     FI         MA         Monthly                                              N       BSS-Accom.                  Jack Hawkins   Roll up comparisions compared to         BSS
                                                                                                                                                                                                                                                         +/-2% accounting
                    80.0                                   Housing Income/Occupancy                                                                                                                                                                      Internal % Occupancy.                                                        80.0
                                                   RP                                     Accommodations    BSS-Accom.     QA         MA         Monthly                                              N       BSS-Accom.                  Jack Hawkins                                            BSS
                                                                     Report                                                                                                                                                                              Work process monitoring.
                    81.0                                                                                                                                                                                                                                 ProCard log for all Housing                                                  81.0
                                                    A         ProCard Justification       Accommodations    BSS-Accom.     BO         MA         Monthly                                              N       BSS-Accom.                  Jack Hawkins   personnel. Internal random audits.       BSS
                                                                                                                                                                                                                                                         Also audited by IA
                    82.0                                                                                                                                                                                                                                 Comparison of rental rates in this                                           82.0
                                                                                                                                                                                                                                                         area. OMB Circular No. A-45
                                                                                                                                                                                                                                                         compliance. Done for
                                                                                                                                                                                                                                                         accomodations by a 3rd party Real
                                                                Rental Survey                                                                                                                                                                            Estate Law Office.
                                                                                          Real Estate Law
                                                    A       / OMB Circular No. A-45                         BSS-Accom.     BO        MA,TP        Annual                                              N       Directorate                 Jack Hawkins Gadd, Tibble & Associates, Inc.            BSS
                                                                                              Office.
                                                                 compliance                                                                                                                                                                            Dave has Jack compare current rates
                                                                                                                                                                                                                                                       against the survey and propose rate
                                                                                                                                                                                                                                                       adjustments which Dave then gets
                                                                                                                                                                                                                                                       approval for from Bruce Chrisman.

                    83.0                                                                                                                                                                                                                                 Directorate uses to select                                                   83.0
                                                                                                                                                                                                                                                         experiments receiving housing.
                                                   RP       Summer Housing Requests       Accommodations    BSS-Accom.     BO         MA          Annual                                              N       Directorate                 Jack Hawkins   (Roy Rubenstein)                         BSS
                                                                                                                                                                                                                                                         Report lisitng by experiment who
                                                                                                                                                                                                                                                         occupies & the # available.
                    84.0                                                                                                                                                                                                                                 Directorate uses to select                                                   84.0
                                                                                                                                                                                                                                                         experiments receiving housing.
                                                   RP      Fall/Spring Housing Requests   Accommodations    BSS-Accom.     BO         MA          Annual                                              N       Directorate                 Jack Hawkins   Report to determine who gets or          BSS
                                                                                                                                                                                                                                                         does not get housing & who has to
                                                                                                                                                                                                                                                         go offsite for housing.
                    85.0                                                                                                                                                                                                                                 Inspection upon arrival - state of                                           85.0
                                                                                                                                                                                                                                                         the housing. Phyiscal walk thru
                                                    IN         Arrival Inspections        Accommodations    BSS-Accom.     BO         MA         Various                                              N       BSS-Accom.                  Jack Hawkins                                            BSS
                                                                                                                                                                                                                                                         Houses & Appartments (ex: Aspen
                                                                                                                                                                                                                                                         East" only, not dorm rooms.
                    86.0                                      Housing Maintenance                                                                                                                                                                        Similar to Housing Operating                                                 86.0
                                                   RP                                     Accommodations    BSS-Accom.     FI         MA         Monthly                                              N       BSS-Accom.                  Jack Hawkins                                            BSS
                                                                   Statement                                                                                                                                                                             Statement
                    87.0                                                                                                                                                                                                                                 Some housing is not owned by BSS                                             87.0
                                                                                                                                                                                                                                                         but is still maintained by BSS.
                                                                                                                                                                                                                                                         Similar to Housing Maintenance
                                                            Non-Housing Maintenance                                                                                                                                                                      Statement but of non-
                                                   RP                                     Accommodations    BSS-Accom.     FI         MA         Monthly                                              N       BSS-Accom.                  Jack Hawkins                                            BSS
                                                                  Statement                                                                                                                                                                              accomodations. FESS does some
                                                                                                                                                                                                                                                         kinds of maintenance such as
                                                                                                                                                                                                                                                         HVAC & plumbing. BSS has 2 full
                                                                                                                                                                                                                                                         time carpenters on staff.
                    88.0                                                                                                                                                                                                                                 Inspection walk thru's upon                                                  88.0
                                                    A         Departure Inspections       Accommodations    BSS-Accom.     BO         MA         Various                                              N       BSS-Accom.                  Jack Hawkins   departaure - state of the housing for    BSS
                                                                                                                                                                                                                                                         maintenance & safety
                    89.0                                                                                                                                                                                                                                 Financial Report by Accounts                                                 89.0
                                                                                                                                                                                                                                                         Receivable @ Fermilab.
                                                                                                                                                                                                                                                         chez leon is operated only with
                                                   RP Chez Leon Operating Statement       FI - Accounting   BSS-Accom.     FI         MA         Monthly                                              N       BSS-Accom.                  Jack Hawkins                                            BSS
                                                                                                                                                                                                                                                         income & FRA supplementary
                                                                                                                                                                                                                                                         funds. Costs are non-allowable by
                                                                                                                                                                                                                                                         DOE.




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                             Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                          Page 17 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                Assessment                                          Date         DOE                                                                                                      Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                   Systems                Frequency     Planned Start Date                             Other Req?      Status      POC                     Comments                    Org   Filters
                                                              Orders, Permits etc)                          D/S/C                     Method                                           Complete       Req?                                                                                                      Owner        Order

                    90.0                                                                                                                                                                                                                              Report                                                                     90.0
                                                                                                                                                                                                                                                      Task managers supervise
                                                                                                                                                                                                                                                      contractors. Report re 10hrs
                                                                                                                                                                                                                                                      continuing education per
                                                                                                                                                                                                                                                      Subcontractor Safety Subcommittee
                                                           Task Manager Training and                          BSS-Accom.                                                                                                                              S3. May have optional (such as
                                                   RP     Qualifications Report FESHM        Section Office   BSS-Trans.     EH         MA          Annual                                              N      BSS-SSO EH               Greg Mitchell Human Performance Improvement            BSS
                                                                       7010                                      Serv.                                                                                                                                HPI) or mandatory. SSO reviews
                                                                                                                                                                                                                                                      proposed courses. & recieves the
                                                                                                                                                                                                                                                      training report then forwards the
                                                                                                                                                                                                                                                      report to the ES&H Section.
                                                                                                                                                                                                                                                       FESHM Chapter 7010.

                    91.0                                                                                                                                                                                                                               Financial Report                                                          91.0
                                                                                                                                                                                                                                                       Cafeteria income/expenses.
                                                   RP     Cafeteria Operating Statement     Accommodations    BSS-Accom.     FI         MA         Monthly                                              N       BSS-Accom.              Jack Hawkins                                           BSS
                                                                                                                                                                                                                                                       Is allowed to use DOE funding.
                                                                                                                                                                                                                                                       Task # 801004
                    92.0                                                                                                                                                                                                                               Issued to Accounting where it is                                          92.0
                                                                                                                                                                                                                                                       used to determine allowability and
                                                                                                                                                                                                                                                       proper funding source.
                                                                                                                                                                                                               FI-Accounting                           Food okay for Large Users Meeting
                                                    A     Special Event Invoicing - Food    Accommodations    BSS-Accom.     FI         MA         Monthly                                              N                               Jack Hawkins                                           BSS
                                                                                                                                                                                                                   FRA                                 (lunches etc Req >50% non
                                                                                                                                                                                                                                                       Fermilab otherwise light
                                                                                                                                                                                                                                                       refreshments only)
                                                                                                                                                                                                                                                       Cafeteria Services
                    93.0                                                                                                                                                                                                                               Financila Statement Southern's                                            93.0
                                                            Southern Annual Budget -                                                                                                                               BSS-
                                                    A                                       Accommodations    BSS-Accom.     FI         MA          Annual                                              N                               Jack Hawkins   budget - NOT Fermi's budget. Ties       BSS
                                                                    Cafeteria                                                                                                                                   Procurement
                                                                                                                                                                                                                                                       to a PO# / contract.
                    94.0                                                                                                                                                                                                                               Financial Users Center Bar                                                94.0
                                                              Users Center Operating
                                                    A                                       Accommodations    BSS-Accom.     FI         MA         Monthly                                              N       BSS-Accom.              Jack Hawkins   income/expenses. Tied to                BSS
                                                                    Statement
                                                                                                                                                                                                                                                       Southern's PO# / contract.
                    95.0                                                                                                                                                                                                                               Financial                                                                 95.0
                                                                                                                                                                                                                                                       Used by Accounting to determine
                                                             Special Event Invoicing -                                                                                                                         FI-Accounting                           allowability and proper funding
                                                    A                                       Accommodations    BSS-Accom.     FI         MA         Monthly                                              N                               Jack Hawkins                                           BSS
                                                                      Liquor                                                                                                                                       FRA                                 source. 100% FRA. Similar to
                                                                                                                                                                                                                                                       Special Event Invoicing - Food.
                                                                                                                                                                                                                                                       Southern PO / contract.
                    96.0                                                                                                                                                                                                                               Southern's budget - NOT Fermi's                                           96.0
                                                          Southern Annual Budget - Users                                                                                                                           BSS-
                                                    A                                    Accommodations       BSS-Accom.     FI         MA          Annual                                              N                               Jack Hawkins   budget. Assurances that they are in     BSS
                                                                     Center                                                                                                                                     Procurement
                                                                                                                                                                                                                                                       good financial health
                    97.0                                                                                                                                                                                                                                CNS Incorporated. May change                                             97.0
                                                          Health Inspections - Chez Leon,
                                                    A                                         Contractor      BSS-Accom.     EH        MA,TP       Quarterly                                                                                           this year. Not done by county at        BSS
                                                              User Center, Cafeteria
                                                                                                                                                                                                                                                       Fermilab.
                    98.0                                                                                                                                                                                                                               Pacific Inspections Inc. If Liability                                     98.0
                                                           Insurance Walk throughs for
                                                    A                                         Contractor      BSS-Accom.     BO         MA          Annual                                                                                             Insurance carrier changes so will       BSS
                                                                 Legal Liabililty
                                                                                                                                                                                                                                                       this company.
                    99.0                                                                                                                                                                                                                              3 topics each timeUsed by DOE in lieu                                      99.0
                                                                                                                                                                                                                                                      of OSHA. BSS SSO is part of the
                                                           851 ssessments / 10CFR851                                                                                                                              ES&H                                assessment team. Reports up to 2009
                                                    A                                       DOE,ES&H,BSS         BSS         EH         MA          Annual                                             Y                                Greg Mitchell are in docDB.                            BSS
                                                            Worker Safety & Health.                                                                                                                                DOE
                                                                                                                                                                                                                                                      Done lab-wide as Meetings w
                                                                                                                                                                                                                                                      DOE/ES&H/lab SSOs.
                   100.0                                                                                                                                                                                                                              Reports all walkthroughs, HPRs to                                        100.0
                                                                                                                                                                                                                                                      lab Director & ES&H by Sept 30th
                                                                                                                                                                                                                                                      per FESHM 1040.1 section then
                                                             ES&H Self-assessment /                                                                                                                             Directorate
                                                    A                                            BSS             BSS         EH         MA          Annual                                              N                               Greg Mitchell summarized. Results and status           BSS
                                                                FESHM 1040.1                                                                                                                                        EH
                                                                                                                                                                                                                                                      against planned assessments. Also
                                                                                                                                                                                                                                                      includes results of annual ES&H
                                                                                                                                                                                                                                                      Plan.
                   101.0                                                                                                                                                                                                                              Drill 5 total drills including Severe                                    101.0
                                                                                                                                                                                                                                                      weather and fire. Credit for
                                                                                                                                                                                                                                                      response to real events. Reports to
                                                                                                                                                                                                                                                      Bill James who summarizes
                                                                                                                                                                                                                                                      completed ones. Part of
                                                    A             Drill Critiques               ES&H             BSS         EH         MA        Semiannual                                            N           EH                  Greg Mitchell                                          BSS
                                                                                                                                                                                                                                                      Emergency Preparedness.
                                                                                                                                                                                                                                                      Required by Emergency Plan.
                                                                                                                                                                                                                                                      Occupoied Bldgs at least 2/yr)
                                                                                                                                                                                                                                                      Emergency Warden ES&H and
                                                                                                                                                                                                                                                      Bldg Mgr usually.




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                               Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                   Page 18 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                   Assessment                                            Date         DOE                                                                                                            Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                      Systems                Frequency       Planned Start Date                             Other Req?      Status        POC                      Comments                    Org   Filters
                                                              Orders, Permits etc)                          D/S/C                        Method                                             Complete       Req?                                                                                                            Owner        Order

                   102.0                                                                                                                                                                                                                                    FSO 3 yr plan to COO for                                                      102.0
                                                                                                                                                                                                                                                            concurrence. Topics vary. Last
                                                                                                                                                                                                                                                            one Sustainable Acquisition, others
                                                                                                                                                                                                                                                            such as Respirators and Spill
                                                          DOE-FSO assessment Response
                                                    A                                             BSS              BSS          EH        IA,MA      As Requested                                           Y         DOE-FSO                 Greg Mitchell Protection.                                BSS
                                                           and Corrective Action Plans
                                                                                                                                                                                                                                                            Responses and CAPs for
                                                                                                                                                                                                                                                            assessments conducted by FSO
                                                                                                                                                                                                                                                            from teir 3 year plan. Comments
                                                                                                                                                                                                                                                            and CAP's go to ES&H Section.
                   103.0                                                                                                                                                                                                                                     1. Review and verify regulatory                                              103.0
                                                                                                                                                                                                                                                            requirements for BSS work activity
                                                                                                                                                                                                                                                            (Covered by and exempt from the
                                                                                                                                                                                                                                                            regulation)
                                                                                                                                                                                                                                                            2. Review and verify training
                                                                                                                                                                                                                                                            requirements for supervisors and
                                                                                                                                                                                                                                                            employees
                                                                                                                                                                                                                                                            3. Review and verify medical
                                                             Tripartite Assessments /                                                                                                                                                                       qualification requirements
                                                              FESHM 9010 / CDL                                                                                                                                                                              4. Review and verify alcohol and drug
                                                    A                                       DOE,ES&H,BSS           BSS          EH      IA,MA,TP       Annual             2/14/2012         5/25/2012       Y                      Complete   Greg Mitchell testing requirements and                   BSS
                                                           Regulation, Applicability and
                                                                                                                                                                                                                                                            implementation.
                                                                 Implementation
                                                                                                                                                                                                                                                            Note: Personnel from WDRS (perhaps
                                                                                                                                                                                                                                                            EAP) and the Medical Office will need
                                                                                                                                                                                                                                                            to participate.
                                                                                                                                                                                                                                                            Criteria: 1. FESHM 9010 Traffic
                                                                                                                                                                                                                                                            Safety; reference CDL follow 49 CFR
                                                                                                                                                                                                                                                            382-399/ 2. 49 CFR Part 40 Workplace
                                                                                                                                                                                                                                                            Drug and Alcohol Testing

                                                                                                                                                                                                                                                                                                             Tripartite     ES&H
                   104.0                                                                                                                                                                                                                                     Part of Emergency Mgmt Plan.                                                 104.0
                                                                                                                                                                                                                                                             Report - summary of monthly status
                                                                                                                                                                                          Submitted in
                                                                                                                                                                                                                                                             reports. The monthly reports are also
                                                               Fire Department Self-                                                                                                       October to                BSS Section
                                                    A                                       Fire Department      BSS-FD         EH         MA          Annual                                               Y                                 Jack Steinhoff part of the EMP which is a                BSS
                                                                    assessment                                                                                                            BSS-Section                Office EM
                                                                                                                                                                                                                                                             requirement. Should the monthly
                                                                                                                                                                                            Office                                                           reports be on this spreadsheet? FC

                   105.0                                                                                                                                                                                                                                    Format is BSS format and is more free                                         105.0
                                                          Balanced Scorecard assessment                            BSS-
                                                    A                                         Procurement                       BO         MA          Annual                                               Y         DOE-FSO                  Joe Colliins form than some other Balanced              BSS
                                                                     Report                                     Procurement
                                                                                                                                                                                                                                                            Scorecard assessment reports.
                   106.0                                                                                                                                                                                                                                    Based on balanced scorecard &                                                 106.0
                                                               DOE Agreement self-                                                                                                                                                                          narratives. Tied to PEMP.
                                                                                                                   BSS-
                                                    A          assessment Report -            Procurement                       BO         MA        Semiannual                                             Y         DOE-FSO                  Joe Colliins This is not on Bob's Mgmt Systems to       BSS
                                                                                                                Procurement
                                                                   Procurement                                                                                                                                                                              be Assessed by Quarter List
                                                                                                                                                                                                                                                            (DOE/OQBP lists)
                   107.0                                   Small Business Subcontracting                           BSS-                                                                                                                                       Biannual Report to DOE website                                              107.0
                                                    A                                      Procurement                          BO         RP          Biannual                                             Y                                  Joe Colliins                                            BSS
                                                                      Report                                    Procurement
                   108.0                                  Procurement Second Level Self-                           BSS-                                                                                              BSS-Section                                                                                                          108.0
                                                    A                                    BSS Section Office                     QA         MA        As Requested                                            N                                 Joe Colliins                                            BSS
                                                                assessment Reports                              Procurement                                                                                            Office
                   109.0                                                                                           BSS-                                                                                                                                       Examples include ARRA spending.                                             109.0
                                                    A       Procurement Miscellaneous           DOE-IG                          BO         TP        As Requested                                           Y                                  Joe Colliins                                            BSS
                                                                                                                Procurement
                   112.0                                                                                                                                                                                                                                      Report is based upon Property and                                           112.0
                                                                                                                                                                                                                                                              Fleet Management metrics - four
                                                                                                                 BSS-PIC
                                                          Balanced Scorecard ssessment        Property and                                                                                                                                                    different perspectives and
                                                    A                                                           BSS-Transp.     BO         MA          Annual                                               Y         DOE-FSO                  Jack Kelly
                                                                                                                                                                                                                                                              approximately 12 mandatory and no        BSS
                                                                     Report                 Inventory Control     Srvcs.
                                                                                                                                                                                                                                                              optional metrics.
                                                                                                                                                                                                                                                              Has a plan and assessment.
                   113.0                                                                                                                                                                                                                                      Self--assessment for the Laboratory                                         113.0
                                                                                                                                                                                                                                                              Property Management System. Looks
                                                                                                                                                                                                                                                              at how the Property Management and
                                                               DOE Agreement self-                               BSS-PIC                                                                                                                                      Fleet Operations are doing against
                                                                                              Property and                                                                                                                                                    Balanced Scorecard metrics and
                                                    A      assessment Report / Security -                       BSS-Transp.     BO         MA        Semiannual                                             Y          OQBP                    Jack Kelly                                              BSS
                                                                                            Inventory Control                                                                                                                                                 noteworthy accomplishments.
                                                            Property & InventoryControl                           Srvcs.
                                                                                                                                                                                                                                                              Not on Bob's Mgmt Systems to be
                                                                                                                                                                                                                                                              Assessed List


                   114.0                                                                                                                                                                                                                                      Self-assessment for the Transportation                                      114.0
                                                                                                                                                                                                                                                              Services and Property Management
                                                               DOE Agreement self-
                                                                                                                                                                                                                                                              functions for export control
                                                             assessment Report lists).        Property and                                                                                                                                                    restrictions. (non-proliferation) High
                                                    A                                                            BSS-PIC        BO         MA        Semiannual                                             Y          OQBP                    Jack Kelly                                              BSS
                                                             Export Control Self-self-      Inventory Control                                                                                                                                                 Risk Items. In PEMP. Not on OBBP
                                                                    assessment                                                                                                                                                                                Quarterly self-assessments list.

                   116.0                                                                                                                                                                                                                                      Reapproval of entire Property Mgmt                                          116.0
                                                                                                                                                                                                                                                              System including Fleet Mgmt by DOE-
                                                                                                                                                                                                                                                              CH for FSO. Compares
                                                              Property Mgmt System                                                                                                                                                                            policies/procedures with DOE
                                                    A                                           DOE-CH           BSS-PIC        QA         TP         Triannual                                                                                                                                        BSS
                                                                   Reapproval                                                                                                                                                                                 Requirements & Regulations and how
                                                                                                                                                                                                                                                              well policies/procedures implemented.



35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                    Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                        Page 19 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                     Assessment                                             Date         DOE                                                                                                           Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                        Systems                Frequency        Planned Start Date                             Other Req?      Status       POC                        Comments                     Org   Filters
                                                              Orders, Permits etc)                          D/S/C                          Method                                              Complete       Req?                                                                                                           Owner        Order

                   117.0                            A     QA assessment (Procurement)            OQBP                BSS          QA          IA           Once               1/2/2012                                                                           12-QA-005                                  BSS   OQBP        OQBP          117.0
                   118.0                                  FRA Visiting Committee for                                                                                                                                                                             Inserted as placeholder. From FY11-                                        118.0
                                                    A                                           FRA-BOD              BSS        BO,QA       IA,MA         Annual                                                N       Directorate   Complete   Dave Carlson                                               BSS
                                                          Administration & Operations                                                                                                                                                                                                                              FRA         FRA
                   119.0                                                                                                                                                                                                                                      Alicia decides topics with inputs from                                        119.0
                                                                                                                                                                                                                                                              audited organization. This should
                                                           Miscellaneous Internal Audit                          BSS-Section
                                                    A                                       BSS Section Office                    BO          IA       As Requested                                            Y        Directorate              Dave Carlson remain as a place holder to remind us         BSS
                                                                   assessments                                     Office
                                                                                                                                                                                                                                                              of upcoming IA Assessments.

                   120.0                                                                                                                                                                                                                                         Multiple subjects each year from                                           120.0
                                                               DOE Agreement self-                                                                                                                                                                               PEMP.
                                                                assessment Report                                                                                                                                                                                This IS on Bob's Mgmt Systems to be
                                                           (DOE/OQBP) lists / Physical                                                                                                                                                                           Assessed List. -
                                                    A                                            Security        BSS-Security     BO         MA         Semiannual                                             Y          OQBP                   Bill Flaherty                                              BSS
                                                           Security - Protection Systems,
                                                              Program Manaagement,
                                                                 Protective Forces
                                                                                                                                                                                                                                                                                                                  OQBP        OQBP
                   121.0                                                                                                                                                                                                                                       Assessment of security officer                                               121.0
                                                                                                                                                                                                                                                               training program. TAPAR is part
                                                                                                                                                                                                                                                               of a recertification of the training
                                                              Training Approval Plan
                                                    A                                            Security        BSS-Security     SS         MA        Every 5 years                                            Y        DOE SS                  Bill Flaherty program which is currently required          BSS
                                                           assessment Report (TAPAR)
                                                                                                                                                                                                                                                               every 5 years. (Whether FNAL
                                                                                                                                                                                                                                                               continues to be required to meet
                                                                                                                                                                                                                                                               TAP requirements is TBD.)
                   123.0                                                                                                                                                                                                                                         Annual energy report -petroleum                                            123.0
                                                                                                                                                                                                                                                                 savings and alternative fuel usage goals
                                                               DOE Agreement self-                                                                                                                                                                               and achievement.
                                                                assessment Report.            Transportation     BSS-Transp.                                                                                                                       George        FESS runs program. BSS sends report
                                                    A                                                                             BO         MA           Annual                                               Y         DOE EH                                  to FESS (Randy O.)                         BSS
                                                          Transformational Energy Action          Srvcs.           Srvcs.                                                                                                                         Davidson
                                                           Management - TEAM/Report                                                                                                                                                                              E85 fuel used on site DOE Energy
                                                                                                                                                                                                                                                                 Initiative. Not on OQBP Quarterly
                                                                                                                                                                                                                                                                 assessments list.
                   124.0                                                                                                                                                                                                                                         Yearly mileage/usage objectives to                                         124.0
                                                                                                                                                                                                                                                                 comply with Federal Property
                                                          Local Use Objectives - Goals, a     Transportation                                                                                                                                       George
                                                                                                                                                                                                                                                                 Management regulations.. In Property
                                                    A                                                              Fermilab       BO         MA           Annual                                               Y           DOE                                                                              BSS
                                                                      plan                        Srvcs.                                                                                                                                          Davidson
                                                                                                                                                                                                                                                                 Mgmt Balanced Scorecard.

                   125.0                                                                                                                                                                                                                                         ES&H will occasionally assess the Fuel                                     125.0
                                                                                                                                                                                                                                                                 Service Center to insure that
                                                                                                                                                                                                                                                                 Transportation Services practices the
                                                            Underground Storage Tank        ES&H,DOE,IEPA,       BSS-Transp.                                                                                                EH                     George        necessary measures to comply with
                                                    A                                                                             EH        IA,TP      As Requested                                            Y                                                                                            BSS
                                                                 Data (USTD)                     EPA               Srvcs.                                                                                                  DOE                    Davidson       FNAL's air emission permit. A DOE
                                                                                                                                                                                                                                                                 representative will usually participate
                                                                                                                                                                                                                                                                 in the assessment.
                   126.0                                                                                                                                                                                                                                         Illinois EPA authorities have been to                                      126.0
                                                                                                                                                                                                                                                                 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
                                                                                            ES&H,DOE,IEPA,       BSS-Transp.                                                                                                                       George        representative is accompanied by a
                                                    A         Fuel Center Operations                                              EH        IA,TP      As Requested                                             N          EPA                                   DOE representative when they arrive at     BSS
                                                                                                 EPA               Srvcs.                                                                                                                         Davidson
                                                                                                                                                                                                                                                                 the Fuel Service Center.
                                                                                                                                                                                                                                                                 System has automatic monitoring.
                                                                                                                                                                                                                                                                 JH, JJC looks like work process
                                                                                                                                                                                                                                                                 controls/monitoring not assessments.


                   127.0                                                                                                                                                                                                                                         True assessment.                                                           127.0
                                                                                                                                                                                                                                                                 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
                                                                                                                                                                                                                                                                 storage tanks. The agent will check
                                                                                                                                                                                                                                                                 other things like paperwork and
                                                            Illinois Department of Fire                          BSS-Transp.                                                                                             EH Fire                   George        stickers to verify Illinois code
                                                    A                                        IFM,ES&H,DOE                         BO        IA,TP      As Requested                                            Y                                                                                            BSS
                                                                      Marshall                                     Srvcs.                                                                                                Marshall                 Davidson       compliance.
                                                                                                                                                                                                                                                                 The name of the report is
                                                                                                                                                                                                                                                                 "Certification Audit by the Office of
                                                                                                                                                                                                                                                                 the Illinois State Fire Marshall".
                                                                                                                                                                                                                                                                 Write-ups have been minor and
                                                                                                                                                                                                                                                                 usually corrected on the spot, so no
                                                                                                                                                                                                                                                                 CAP's have been created.

                   128.0                                                                                                                                                                                                                                      Mgmt walkthroughs invite DOE,                                                 128.0
                                                                                             DIR,BSS,ES&H,
                                                   WT         Quarterly Walkthrough                                  BSS          EH      IA,MA,TP       Quarterly                                                                               Dave Carlson ES&H etc. Dave Carlson. SSO each              BSS
                                                                                                  DOE                                                                                                                                                         time. Records in ESHTRAK
                   129.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                       Includes Tornado Drill, March 2012
                                                                                                                                                                                                                                                  Bill James, and Fire Evacuation, October 21012.
                                                    IN            FESHM 6015                   ES&H,BSS             BSS           EH        IA,MA        Annual                                                                                                                                             BSS
                                                                                                                                                                                                                                                  Jim Priest
                                                                  ASPENEAST                                                                                                   6/12/2012




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                       Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                       Page 20 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                  Assessment                                               Date         DOE                                                                                                     Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                     Systems                  Frequency        Planned Start Date                             Other Req?    Status      POC                      Comments                    Org   Filters
                                                              Orders, Permits etc)                          D/S/C                       Method                                                Complete       Req?                                                                                                     Owner        Order

                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA        Triannual                                                                                                                                      BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                CHECHEPIN10                                                                                                  6/13/2012
                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA          Annual                                                                                                                                       BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                 KUHN BARN                                                                                                   6/12/2012
                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA          Annual                                                                                                                                       BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                SHAB20-shelter                                                                                               6/13/2012
                                                                                                                                                                                                                                                            Includes Tornado Drill, March 2012
                                                        Highly Protected Risk (HPR) /                                                                                                                                                                       and Fire Evacuation, October 21012.
                                                                FESHM 6015                                                                                                                                                                    Bill James,
                                                    IN                                      ES&H,BSS             BSS           EH        IA,MA          Annual                                                                                                                                       BSS
                                                       Dir Center Dorm 5 & 6 children                                                                                                                                                         Jim Priest
                                                        center neuqua 35 37 39 41 43
                                                                                                                                                                             6/13/2012
                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA       Every 5 years                                                                                                                                   BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                  RAIL SIDING                                                                                                8/30/2012
                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA        Triannual                                                                                                                                      BSS
                                                                                                                                                                                                                                              Jim Priest
                                                            DIRECT RES SEE(916)
                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA        Triannual                                                                                                                                      BSS
                                                                                                                                                                                                                                              Jim Priest
                                                              garage and apartment
                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA        Triannual                                                                                                                                      BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                   Barn Site 29
                                                          Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                              Bill James,
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA        Triannual                                                                                                                                      BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                  Barn 2 Site 29
                                                          Highly Protected Risk (HPR) /                                                                                                                                                                     Includes Tornado Drill, March 2012
                                                                                                                                                                                                                                              Bill James,   and Fire Evacuation, October 21012.
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA          Annual                                                                                                                                       BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                Fuel Service Cntr                                                                                            9/26/2012
                                                          Highly Protected Risk (HPR) /                                                                                                                                                                     Includes Tornado Drill, March 2012
                                                                                                                                                                                                                                              Bill James,   and Fire Evacuation, October 21012.
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA         Biannual                                                                                                                                      BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                F38 VEH MAIN                                                                                                 9/26/2012
                                                          Highly Protected Risk (HPR) /                                                                                                                                                                     Includes Tornado Drill, March 2012
                                                                                                                                                                                                                                              Bill James,   and Fire Evacuation, October 21012.
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA          Annual                                                                                                                                       BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                 F38 RECEIV1                                                                                                 9/26/2012
                                                          Highly Protected Risk (HPR) /                                                                                                                                                                     Includes Tornado Drill, March 2012
                                                                                                                                                                                                                                              Bill James,   and Fire Evacuation, October 21012.
                                                    IN            FESHM 6015                ES&H,BSS             BSS           EH        IA,MA          Annual                                                                                                                                       BSS
                                                                                                                                                                                                                                              Jim Priest
                                                                  Warehouse 2                                                                                                9/26/2012
                   130.0                                    Annual KPMG financial                                                                                                                                                                                                                                                    130.0
                                                    A                                          KPMG               BSS          FI          IA           Annual                                                                                                                                       BSS
                                                             assessement for FI CFO                                                                                                                                                                                                                        KPMG        KPMG
                   131.0                                                                                                                                                                                                                                    Report of all publications to the                                        131.0
                                                                                                                 BSS -                                                                                                                                      SPIRES database. OSTI harvests this
                                                          Technical Publications SPIRES                                                                                                                                                                     database to obtain information on new
                                                    A                                           IAD           Information      BO         MA          As Needed                              12/11/2009                   IAD      Complete                                                          BSS
                                                           database (IAD Annual Plan)                                                                                                                                                                       Fermilab papers as required by DOE O
                                                                                                               Resources
                                                                                                                                                                                                                                                            241.1.                                          IAD         IAD
                   132.0                                  ARRA Procurement Activities                            BSS -                                                                                                                                      Added from IAD schedule - Jed                                            132.0
                                                    A                                           IAD                            FI          IA         As Needed                               9/21/2010                   IAD      Complete
                                                                                                                                                                                                                                                            (FNAL2010-05)                            BSS
                                                             (IAD Annual Plan)                                Procurements                                                                                                                                                                                  IAD         IAD
                   133.0                                                                                                                                                                                                                                    ProCard, Petty Cash, Taxes etc. Pam                                      133.0
                                                                                                                                                                                                                                                            Noyes is the procard administrator and
                                                    A            Allowable costs                BSS             Fermilab       FI         IA            Annual                                                                                              audits use. Frank alos audits for Dave   BSS
                                                                                                                                                                                                                                                            mostly property procard use.
                                                                                                                                                                                                                                                                                                            IAD         IAD
                   134.0                                  QA assessment (Design/Eng. &                                                                                                                                                                      12-QA-013                                                                134.0
                                                    A                                          OQBP              BSS           QA         IA             Once               5/21/2012                                                                                                                BSS
                                                                  Work Processes)                                                                                                                                                                                                                          OQBP        OQBP
                                                          Pollution Prevention Tracking                                                                                                                                                                     ES&H Section enters information
                                                          Reporting System                                                                                                                                                                                  into this database. We provide data
                                                    R                                          ES&H              BSS           EH         IA            Annual              10/1/2012                                                                       to ES&H. New contract actions for        BSS
                                                                                                                                                                                                                                                            construction (>$100K) and
                                                                                                                                                                                                                                                            custodial (>$100K).
                                                          Pert Review of Procurement                                                                                                                                                                        Pert review is currently scheduled
                                                                                                                                                                                                                                                            for every 3 years but may change to
                                                                                          Doe Contractors        BSS-                                                                                                                                       every 5 years. Review team
                                                    A                                                                          BO         TP        Every 3 Years            4/1/2012                                                         J. Collins                                             BSS
                                                                                            and DOE           Procurement                                                                                                                                   consists of DOE Labs Procurement
                                                                                                                                                                                                                                                            managers and DOE representatives.

                                                          Exchange Sale Report                                                                                                                                                                              Total number of assets that are sold
                                                                                                                                                                                                                                                            or traded in on a procurement. The
                                                                                                                                                    Annual - Due at
                                                                                            Property and                                                                                                                                                    report is broken down by Federal
                                                   RP                                                          BSS-PIC         BO         TP         the end of the                                            Y                               J. Kelly                                              BSS
                                                                                          Inventory Control                                                                                                                                                 Supply Code and the original
                                                                                                                                                      Fiscal Year.
                                                                                                                                                                                                                                                            acquisition value for each asset.




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                      Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                 Page 21 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                    Assessment                                               Date         DOE                                                                                                          Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                       Systems                  Frequency        Planned Start Date                             Other Req?     Status         POC                     Comments                   Org    Filters
                                                              Orders, Permits etc)                          D/S/C                         Method                                                Complete       Req?                                                                                                          Owner        Order

                                                          Property Furnished to non-                                                                                                                                                                             This report captures assets that are
                                                          federal recipients                                                                                                                                                                                     transferred to Computers for
                                                                                                                                                                                                                                                                 Learning (CFL), donations to state
                                                                                                                                                                                                                                                                 agencies, to DOE grantees, and
                                                                                                                                                      Annual - Due at                                                                                            other DOE contractors which do
                                                                                             Property and
                                                   RP                                                            BSS-PIC         BO         TP         the end of the                                            Y                                   J. Kelly    not go through the GSA excess           BSS
                                                                                           Inventory Control
                                                                                                                                                        Fiscal Year.                                                                                             process. Also includes any new
                                                                                                                                                                                                                                                                 domestic and foreign loans that are
                                                                                                                                                                                                                                                                 created throughout the year.
                                                                                                                                                                                                                                                                 Grouped by Federal Supply Code
                                                                                                                                                                                                                                                                 and original acquisition value.
                                                      Property Information Database                                                                   Annual - Due at                                                                                            sf
                                                                                             Property and
                                                   RP System (PIDS)                                              BSS-PIC         BO         TP         the end of the                                            Y                                   J. Kelly                                            BSS
                                                                                           Inventory Control
                                                                                                                                                        Fiscal Year.
                                                          Laptop Loss Data Report                                                                                                                                                                                This report captures the total
                                                                                                                                                                                                                                                                 quantity and acquisition value of
                                                                                                                                                                                                                                                                 the Laboratory's laptops at the end
                                                                                                                                                      Annual - Due at
                                                                                             Property and                                                                                                                                                        of the year. It then captures the
                                                   RP                                                            BSS-PIC         BO         TP         the end of the                                            Y                                   J. Kelly                                            BSS
                                                                                           Inventory Control                                                                                                                                                     number and acquisition value of
                                                                                                                                                        Fiscal Year.
                                                                                                                                                                                                                                                                 laptops that were reported on
                                                                                                                                                                                                                                                                 security reports throughout the
                                                                                                                                                                                                                                                                 year.
                                                          Individual Subcontracting                                                                                                                                                                              Entered in "Electronic
                                                          Report (ISR)                                             BSS-                                                                        April 30 &                                                        Subcontracting Reports System" by
                                                   RP                                        Procurement                         BO         MA         Semiannual                                                Y                                  J. Collins                                           BSS
                                                                                                                Procurement                                                                    October 30                                                        Procurement with copies to FSO
                                                                                                                                                                                                                                                                 and Directoriate.
                                                          Summary Subcontract Report                                                                                                                                                                             Entered in "Electronic
                                                          (SSR)                                                    BSS-                                                                                                                                          Subcontracting Reports System" by
                                                   RP                                        Procurement                         BO         MA            Annual                               October 30        Y                                  J. Collins                                           BSS
                                                                                                                Procurement                                                                                                                                      Procurement with copies to FSO
                                                                                                                                                                                                                                                                 and Directoriate.
                   135.0                            A      QA assessment (Procurement)          OQBP                CS           QA         IA             Once               10/3/2011         11/4/2011       Y           IQA       Complete      Banerjee     12-QA-001                               CS     OQBP          OQBP          135.0
                   136.0                                                                                                                                                                                                                                         Goals: The goal is to review how well                                      136.0
                                                                                                                                                                                                                                                                 the CD has implemented the
                                                                                                                                                                                                                                                                 requirements of FESHM 8031 Oil
                                                                                                                                                                                                                                                                 Pollution Inspection Chapter. This
                                                                                                                                                                                                                                                                 chapter addresses the EPA
                                                                                                                                                                                                                                                                 requirements to have a Spill
                                                                                                                                                                                                                                                                 Prevention, Control and
                                                                                                                                                                                                                                                                 Countermeasures program. The
                                                              Tripartite Assessment                                                                                                                                                                              assessment will review the Fermilab
                                    Co              A         SPCC Implementation          CD,DOE,ES&H              CS           EH      IA,MA,TP         Annual             11/15/2011         4/5/2012        Y           ESH       Complete       Pavnica     program and determine how well CD       CS
                                                                  FESHM 8031                                                                                                                                                                                     has im-lemented its requirements.

                                                                                                                                                                                                                                                                 A second goal of the assessment is to
                                                                                                                                                                                                                                                                 team up with AD and PPD to serve as a
                                                                                                                                                                                                                                                                 model on how multiple divisions can
                                                                                                                                                                                                                                                                 work together when performing
                                                                                                                                                                                                                                                                 tripartite assessments.

                                                                                                                                                                                                                                                                                                               Tripartite     ES&H
                   137.0                                   Highly Protected Risk (HPR) /                                                                                                                                                                         Includes Tornado Drill, March 2012                                         137.0
                                                                                                                                                                                                                                               Pavnica/Wal and Fire Evacuation, October 21012.
                                                    A              FESHM 6015                     CS                CS           EH         MA            Annual                                                N       ESH / NFPA On Schedule                                                           CS
                                                                                                                                                                                                                                                   ters
                                                                       FCC                                                                                                    7/20/2012
                                                           Highly Protected Risk (HPR) /
                                                                                                                                                                                                                                                   Pavnica/Wal
                                                    A              FESHM 6015                     CS                CS           EH         MA            Annual                                                N       ESH / NFPA On Schedule                                                           CS
                                                                                                                                                                                                                                                       ters
                                                                       GCC                                                                                                    7/21/2012
                   138.0                                                                                                                                                                                                                                       This is occuring as our annual                                               138.0
                                                          Review of Generator Spill Plan                       CS/Operaretio                                                                                                                       Pavnica/Wal
                                                    A                                             CS                             EH         MA          Continuous                                              N           ESH       Complete                 Tripartite (See #182).                    CS
                                                          according to EPA & NPA codes                             ns                                                                                                                                  ters
                                                                                                                                                                                                                                                                                                                             KPMG
                   139.0                                                                                                                                                                                                                                         [Simultaneous, but not                                                     139.0
                                                            ISO 14001 Environmental                                                                                                                                                                              consolidated. Schedule & report
                                                    A                                        NSF registrar          CS           EH       MA,TP        Semiannual                TBD                            N           ISO      On Schedule     Pavnica                                             CS
                                                            Mgmt Systems assessment                                                                                                                                                                              given to Bill James & in ESH
                                                                                                                                                                                                                                                                 DocDb.]                                       ISO 14001     KPMG
                   140.0                                   OHSAS 18001 Occupational                                                                                                                                                                              Simultaneous, not consolidated.                                            140.0
                                                    A                                        NSF registrar          CS           EH       MA,TP        Semiannual                TBD                            N         OHSAS      On Schedule     Pavnica                                             CS
                                                            Health Safety assessment                                                                                                                                                                                                                            OHSAS
                   142.0                                                                                                                                                                                                                                     OSG SCIDAC - Scientific                                                        142.0
                                                             FY12 Open Science Grid
                                                                                                                                                                                                                                                             Discovery thru Advanced
                                                   RP      (SciDac)- OSG DOE Annual              DOE           OSG project       IT         TP            Annual             12/30/2011                         Y                    On Schedule   Pordes                                                CS
                                                                                                                                                                                                                                                             Computing. This project is funded
                                                                     Report
                                                                                                                                                                                                                                                             by DOE.
                                                             FY12 Open Science Grid                                                                                                                                                                          OSG SCIDAC - Scientific
                                                             (SciDac) - OSG Nat. Sci.      National Science                                                                                                                                                  Discovery thru Advanced
                                                   RP                                                          OSG project       IT         TP            Annual              6/30/2012                         Y                    On Schedule   Pordes                                                CS
                                                             Foundation (NSF) Annual         Foundation                                                                                                                                                      Computing. This project is partially
                                                                      Report                                                                                                                                                                                 funded by NSF.
                   143.0                                                                                                                                                                                                                                     OSG SCIDAC - Scientific                                                        143.0
                                                            FY12 ComPASS Project                                                                                                                                                                             Discovery thru Advanced
                                                                                                                 ComPass
                                                   RP     Annual Progress Report - DOE           DOE                             IT         MA            Annual              2/30/2012                         Y                    On Schedule Spentzouris Computing.                                  CS
                                                                                                                  project
                                                                 SCIDAC only                                                                                                                                                                                 CS receives separate funds directly
                                                                                                                                                                                                                                                             from DOE.

35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                        Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                      Page 22 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                                         Date         DOE                                                                                                    Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                 Systems                Frequency    Planned Start Date                             Other Req?      Status       POC                   Comments                   Org   Filters
                                                              Orders, Permits etc)                          D/S/C                   Method                                          Complete       Req?                                                                                                    Owner        Order

                   144.0                                                                                                                                                                                                                           Report not available yet                                               144.0
                                                            FY10 Lattice QCD Project                    Fermilab/JLab/
                                                    A                                          DOE                         SS         MA         Annual                                             Y                     Complete                 (June2010). However, reports from      CS
                                                                Progress Review                             BNL
                                                                                                                                                                                                                                                   previous years are available.
                   145.0                                                                                                                                                                                                                           Hardware                                                               145.0
                                                                DOE Agreement self-
                                                          assessment Report (DOE/OQBP
                                                    A                                           CS           CS            IT         MA         Annual           7/30/2012                         Y          OQBP      On Schedule    White                                             CS
                                                          lists). / Scientific Computing /
                                                               Hardware Management
                                                                                                                                                                                                                                                                                                OQBP        OQBP
                                                          FY12 ComPASS Project Final                      ComPass                                                                                                                                   ComPASS SCIDAC - This project
                                                   RP                                          DOE                         IT         MA         Annual           6/30/2012                         Y                    On Schedule Spentzouris                                          CS
                                                           Report - DOE SCIDAC only                        project                                                                                                                                          is funded by DOE.
                                                                                                                                                                                                                                                   This is an external review of the
                                                           FY12 Lattice QCD Computing
                                                                                                         Lattice QCD                                                                                                                               national LQCD computing project
                                                    A     Project Annual Progress Review       DOE                         IT         TP         Annual            5/1/2012                         Y                    On Schedule    Boroski                                           CS
                                                                                                            project                                                                                                                                organized jointly by the OHEP and
                                                                      - DOE
                                                                                                                                                                                                                                                   ONP program managers.
                   146.0                                                                                                                                                                                                                           Network                                                                146.0
                                                                DOE Agreement self-
                                                          assessment Report (DOE/OQBP
                                                    A                                           CS           CS            IT         MA         Annual           7/30/2012                         Y          OQBP      On Schedule    White                                             CS
                                                          lists). / Scientific Computing /
                                                                Network Management
                                                                                                                                                                                                                                                                                                OQBP        OQBP
                   147.0                                                                                                                                                                                                                           Software                                                               147.0
                                                                DOE Agreement self-
                                                          assessment Report (DOE/OQBP
                                                    A                                           CS           CS            IT         MA         Annual           7/30/2012                         Y          OQBP      On Schedule    White                                             CS
                                                          lists). / Scientific Computing /
                                                               Software Management
                                                                                                                                                                                                                                                                                                OQBP        OQBP
                   148.0                                                                                                                                                                                                                           [MIS - not on OQBP Quarterly                                           148.0
                                                                 DOE Agreement self-
                                                                                                                                                                                                                                                   assessments List] This is the annual
                                                    A     assessment Report (DOE/OQBP           CS            IS           IT         MA         Annual            4/1/2012                         Y          OQBP      On Schedule    White                                             CS
                                                                                                                                                                                                                                                   Information System DOE self
                                                            lists). - Information Systems
                                                                                                                                                                                                                                                   assessment report - bb                       OQBP        OQBP
                                                                                                         BSS, FI, FRA
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                    133             A      Allowable Cost Audit (IAD           IAD        PPD, CD,         FI         IA         Annual            2/1/2012                          Y                                                                                    BSS
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                                  IAD         IAD
                                                              Service Subcontract
                                                    A      Administration (IAD Annual          IAD           BSS           BO         IA        As Needed         11/8/2011                          N          IAD                                                                       BSS
                                                                      Plan)                                                                                                                                                                                                                      IAD         IAD
                   149.0                                                                                                                                                                                                                           Primary responsibility with                                            149.0
                                                            KPMG Financial Statement
                                                    A                                        IAD,KPMG       FI,CD          FI      IA,MA,TP      Annual                                             N                     Complete                 Finance. CD participates in due        CS
                                                                    Audit
                                                                                                                                                                                                                                                   diligence effort only.                        IAD         IAD
                   150.0                                                                                                                                                                                     ISO 20000                                                                                                    150.0
                                                           ITIL/ISO2000: Service Level
                                                    A                                          IAD           CS            IT         MA        As Needed        12/19/2011                         N        criteria for On Schedule   Currie                                            CS
                                                              Agreement (SLA) audit
                                                                                                                                                                                                                 SLA                                                                             IAD         IAD
                   151.0                                                                                                                                                                                                                           Changed from Costs Allowable to                                        151.0
                                                                                                                                                                                                                                                   Allowable Costs Performing org
                                                    A             Allowable costs              IAD           CS            FI         IA        As Needed            TBD                            Y                    On Schedule    White      from FI to IAD and MA to IA. This      CS
                                                                                                                                                                                                                                                   matches Cindy's entry and IAD
                                                                                                                                                                                                                                                   2009 schedule. - Jed                          IAD         IAD
                                                                                                         BSS, FI, FRA
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                                    A      Allowable Cost Audit (IAD           IAD        PPD, CD,         FI         IA         Annual            2/1/2012                          Y                                                                                    CS
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                                  IAD         IAD
                   154.0                                                                                                                                                                                                                           Inserted as placeholder . For FY11-                                    154.0
                                                                                                                                                                                                                                                   Changes to FRA Board - Contractor
                                                           FRA Visiting Committee for
                                                    A                                        FRA-BOD         CS            IT         IA         Annual              TBD                            N           FRA      On Schedule    White      Assurance assessment / H13 Clause      CS
                                                           Adminstration & Operations
                                                                                                                                                                                                                                                   (Formerly Peer Review) - JH
                                                                                                                                                                                                                                                                                                 FRA         FRA
                   155.0                                                                                                                                                                                                                           bb: This is usually done every two                                     155.0
                                                                                                                                                                                                                                                   years. The last assessment was
                                                                                                                                                                                                                                                   done in March 2011. This is not
                                                              Safeguards & Security
                                                    IN                                       DOE,ES&H        CS            EH         IA        As needed            TBD                            Y                                   White      scheduled for this year . However,     CS
                                                             walkthroughs DOE/ESH
                                                                                                                                                                                                                                                   it is not clear if any other related
                                                                                                                                                                                                                                                   assessments will be scheduled this
                                                                                                                                                                                                                                                   year or not.
                   156.0                                                                                                                                                                                                                           DOE Red Team social engineering,                                       156.0
                                                                                                                                                                                                                                                   open access checks etc. Red Teams
                                                                                                                                                                                                                                                   are very ad hoc and may or may
                                                                                                                                                                                                                                                   not visit individual D/S/Cs as part
                                                    A     DOE Cyber Security assessment        DOE         Fermilab        IT        SV,TP       Annual                                             Y                                              of the cyber-security checks.          CS
                                                                                                                                                                                                                                                   Moved from AD list to CD's list.
                                                                                                                                                                                                                                                   Affected organizations do not know
                                                                                                                                                                                                                                                   they were even impacted until afer
                                                                                                                                                                                                                                                   it is over.
                                                               Audit of the Financial
                                                    A      Statements of Fermi Research       KPMG           CS            IT         IA         Annual                             10/1/2012       Y                     Complete      White                                             CS
                                                                  Alliance, LLC

35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                            Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                Page 23 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                                         Date         DOE                                                                                                        Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                 Systems                Frequency    Planned Start Date                             Other Req?     Status         POC                   Comments                  Org     Filters
                                                              Orders, Permits etc)                          D/S/C                   Method                                          Complete       Req?                                                                                                        Owner        Order

                                                             Safeguard and Securities                                                                                                                           IG                                 bb: Periodically, IG looks at the
                                                    A                                             IG            CS         IT         IA        As needed            TBD                            Y                   On Schedule      Gaines                                            CS
                                                                   Assessment                                                                                                                               Requirement                            IT/cybersecurity.
                                                          DOE Safeguard and Securities                                                                                                                                                             bb: DOE looks at the
                                                    A                                       DOE Site Office     CS         IT         IA        Biannual             TBD                            Y                    On Schedule     Gaines                                            CS
                                                                 Assessment                                                                                                                                                                        IT/cybersecurity on a biannual basis
                                                          CS Management Assessment of
                                                                                                                                                                                                                                                   bb: This is a CS internal
                                                    A        Measurement and Test                 CS            CS         QA         MA        As needed          6/1/2012                         N           IQA      On Schedule White TBD                                             CS
                                                                                                                                                                                                                                                   management assessment
                                                                  Equipment
                                                                                                                                                                                                             ISO 20000
                                                                                                                                                                                                             criteria for
                                                                                                                                                                                                                                                   bb: Scope limitation: CS Core
                                                                                                                                                                                                              Incident
                                                          Management Assessment of the                                                                                                                                                             services will be exempt from this
                                                                                                                                                                                                            Management,
                                                    A     adoption of ITIL Best Practices         CS            CS         IT         MA        As needed          3/1/2012                         N                     On Schedule White TBD    assessment. The objective is to         CS
                                                                                                                                                                                                              Problem
                                                                    within CS                                                                                                                                                                      assess the maturity of adoption by
                                                                                                                                                                                                            Management,
                                                                                                                                                                                                                                                   the rest of the CS organization
                                                                                                                                                                                                            and Change
                                                                                                                                                                                                            Management
                                                                                                                                                                                                          Presidential
                                                                                                                                                                                                          Memorandu
                                                                                                                                                                                                              m–
                                                                                                                                                                                                          Disposing of
                                                           Efforts by the Department of
                                                                                                                                                                                                Executive Unneeded
                                                            Energy to Ensure Energy-
                                                    A                                             IG            CS         IT         IA        As needed                            40876.0     Order    Federal Real Complete          White                                             CS
                                                           Efficient Management of its
                                                                                                                                                                                                 13514    Estate dated
                                                                   Data Centers
                                                                                                                                                                                                            June 10,
                                                                                                                                                                                                           2010; and
                                                                                                                                                                                                         Departmental
                                                                                                                                                                                                         Order 430.2B
                   157.0                                  QA assessment (Design/Eng. &                                                                                                                                                             12-QA-014                                                                  157.0
                                                    A                                           OQBP            CS         QA         IA          Once            5/28/2012                         Y                    On Schedule    Banerjee                                           CS
                                                                Work Processes)                                                                                                                                                                                                                   OQBP          OQBP
                   158.0                                                                                                                                                                                                                                                                                                      158.0
                                                                DOE Agreement self-
                                                          assessment Report (DOE/OQBP
                                                    A                                            DIR            DIR        All        MA         Annual           10/1/2011                          Y         OQBP                                                                       DIR
                                                             lists). / Foreign Visits &
                                                              Assignments (Chrisman)
                                                                                                                                                                                                                                                                                                  OQBP          OQBP
                   159.0                                       DOE Agreement self-                                                                                                                                                                                                                                            159.0
                                                          assessment Report (DOE/OQBP
                                                    A          lists). / Stakeholder             DIR            DIR        All        MA         Annual           10/1/2011                          Y         OQBP                                                                       DIR
                                                              Communications (Katie
                                                                      Yurkewitz)                                                                                                                                                                                                                  OQBP          OQBP
                   160.0                                                                                                                                                                                                                                                                                                      160.0
                                                                DOE Agreement self-
                                                          assessment Report (DOE/OQBP
                                                    A                                            DIR            DIR        All        MA         Annual            1/1/2012                          Y         OQBP                                                                       DIR
                                                             lists). / Support Services
                                                          Systems - Legal (Gary Leonard)
                                                                                                                                                                                                                                                                                                  OQBP          OQBP
                   161.0                                                                                                                                                                                                                                                                                                      161.0
                                                                 DOE Agreement self-
                                                          assessment Report (DOE/OQBP
                                                    A                                            DIR            DIR        All        MA         Annual            1/1/2012                          Y         OQBP                                                                       DIR
                                                           lists). / Project Management
                                                                Systems (Dean Hoffer)
                                                                                                                                                                                                                                                                                                  OQBP          OQBP
                   162.0                                                                                                                                                                                                                                                                                                      162.0
                                                                DOE Agreement self-
                                                          assessment Report (DOE/OQBP
                                                    A                                            DIR            DIR        All        MA         Annual            4/1/2012                          Y         OQBP                                                                       DIR
                                                           lists). / Workforce Planning
                                                                  (Young-Kee Kim)
                                                                                                                                                                                                                                                                                                  OQBP          OQBP
                   163.0                                                                                                                                                                                                                           Goal: Determine if the Directorate                                         163.0
                                                              Tripartite Assessment /
                                                    A                                       DOE,ES&H,DIR        DIR        EH        IA,MA       Annual           10/3/2011        12/30/2011        Y                    Complete      Cassidy    is following the requirements of       DIR
                                                                   Ergonomics
                                                                                                                                                                                                                                                   FESHM 5064.                                   Tripartite     ES&H
                   164.0                               FRA Standing CAS Committee                                                                                                                                                                                                                                             164.0
                                    227            A                                             FRA            DIR      BO,QA        IA         Annual                                              Y                                  Chrisman                                          DIR
                                                                    Review                                                                                                                                                                                                                         FRA          OQBP
                   165.0                           RP Safeguards and security survey           DOE-CH         Fermilab     SS         TP         Biennial          6/1/2012                          Y                    Complete Flaherty        Req by HQ.                             ES&H                                165.0
                   166.0                              Contractor assurance system                                                                                                                                                                                                                                             166.0
                                                   A (CAS) assessment / H13 Clause -             DOE          Fermilab     CA         TP         Biennial                                            Y                    Complete     Grossman                                           ES&H
                                                      FSO                                                                                                        04/01/1213        04/01/2011
                   167.0                              Director's triennial ESH Self-                                                                                                                                                               Different topics each time                                                 167.0
                                                   A                                         FES&HCOM         Fermilab     EH         DA        Triennial         4/17/2012                          N        FESHM       Complete     Grossman                                           ES&H
                                                      assessment
                   169.0                              Nuclear Materials Controls &                                                                                                                                                                                                                                            169.0
                                                   A                                         ES&H,OQBP         ESHS      QA,SS       IA,MA       Biennial         4/16/2012                          Y                    Complete       Graden                                           ES&H
                                                      Accountability                                                                                                                                                                                                                              OQBP          ES&H
                   170.0                              Energized electrical safety -                                                                                                                                                                Different topics each time                                                 170.0
                                                   A                                             DOE          Fermilab     EH         TP         Biennial          2/1/2012                          Y                    Complete        Coll                                            ES&H
                                                      FSO
                   171.0                              Dosemetry Program/DOELAP                                                                                                                                                                   Consolidated Dosemetry Program                                               171.0
                                                      DOE Laboratory Acreditation                                                                                                                                                                & DOELAP DOE Laboratory
                                   C69             A                                             DOE           ESHS        EH         TP         Biennial          2/1/2012                          Y                    Complete     McGimpsey                                          ES&H
                                                      program (personnel dosimetry)                                                                                                                                                              Acreditation Programs Assessments
                                                      Assessments




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                            Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                    Page 24 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                          Date         DOE                                                                                                   Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency     Planned Start Date                             Other Req?     Status       POC                 Comments                 Org       Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                           Complete       Req?                                                                                                   Owner        Order

                   172.0                                  SPCC Spill Prevention Controls                                                                                                                                                         SPCC plan review 5 yrs requiring                                        172.0
                                                          & Countermeasures plan                                                                                                                                                                 P.E. signature.
                                                   RP                                         ES&H         Fermilab       EH         SV        Five years          2/1/2015         4/29/2010        N          EPA      Complete      Larson                                        ES&H
                                                          revision / FESHM 8031, 40
                                                          CFR 112
                   173.0                                  HAD Hazard assessment                                                                                                                                                                 Review of on-site hazards                                                173.0
                                                   RP                                         ES&H         Fermilab       EH         SV         Triennial          9/1/2013         9/1/2010         Y                                 James                                         ES&H
                                                          document                                                                                                                                                                              considered for emergency planning
                   175.0                                  Main injector dam inspection /                                                                                                                                            FESS/Kosiro Damn Permit compliance                                                   174.0
                                                    IN                                        FESS         Fermilab       EH         SV         Annual                                               N          EPA                                                                  ES&H
                                                          Permit                                                                                                                                                                    g
                   176.0                                  SARA Title 3 Superfund                                                                                                                                                                Title III                                                                175.0
                                                   RP     Amendments & Reauthorization        ES&H         Fermilab       EH         SV         Annual             2/1/2012                          N          EPA                   James                                          ES&H
                                                          Act / FESHM 8030, 8010
                   177.0                           DR     Tornado drill                       ES&H         Fermilab       EH         SV         Annual            11/9/2012                          Y                                 James                                         ES&H                                176.0
                   179.0                                  Site 55 Resource Conservation                                                                                                                                                          On-site storage Hazardous Waste                                         178.0
                                                   DR     and Recovery Act (RCRA) Part        ES&H         Fermilab       EH         SV         Annual             3/1/2012                          N          EPA      Complete      James     over 90-days                        ES&H
                                                          B, / 40 CFR 247 drill
                   185.0                           RP     Air emissions report                ES&H         Fermilab       EH         SV         Annual             5/1/2012                          N          EPA                    Larson Report                                 ES&H                                183.0
                   186.0                           RP     Toxic release inventory             ES&H         Fermilab       EH         SV         Annual             5/1/2012                          N          EPA                    Larson Report                                 ES&H                                184.0
                   187.0                                  ISO 14001 Environmental                                                                                                                                                             Simultaneus but separate audit                ISO 14001/                   185.0
                                                          Mgmt Systems/OSHAS 1800                                                                                                                                                             teams 2010 is Trienniel                       OSHAS
                                                          Occupational Health & Safety                                                                                                                                            Coll/Mielan Recertification.
                                   C188             A                                      NSF registrar   Fermilab     EH,QA       MA,TP      Semiannual          12/1012                           N      ISO/OSHAS On Schedule                                                    ES&H
                                                          Assessments                                                                                                                                                                  d      Consolidated with OSHAS 1800
                                                                                                                                                                                                                                              Occupational Health & Safety
                                                                                                                                                                                                                                              Assessmnet
                   189.0                                  Occupational RAD exposure /                                                                                                                                                         2010 was a table top discussion.                                           186.0
                                                          10 CFR 835 - table top                                                                                                                                                              Done Trienniel. Next scheduled for
                                   C84 ?            A                                         ES&H         Fermilab       EH          IA        Triennial         12/1/2013         12/1/2010        Y                             Cossairt                                          ES&H
                                                                                                                                                                                                                                              3013. Not decided if full blown
                                                                                                                                                                                                                                              review or Table top discussion.
                   191.0                                  DOE Agreement self-                                                                                                                                                                 Combine with RAD exposure table                                            188.0
                                                          assessment Report (DOE/OQBP                                                                                                                                                         top?
                                                          lists). / Emergency                                                                                                                                                                 There are 3 DOE/OQBP ES&H self-
                                                          Management Systems                                                                                                                                                                  assessments - 1stQ Emergency
                                                                                                                                                                                                                                              Mgmt Is this the Emergency
                                                                                                                                                                                                                                              Preparedness audit (DOE 151C)?
                                                                                                                                                                                                                                              2ndQ Security & Safeguards
                                                                                                                                                                                                                                              4rdQ ES&H lab-wide - which is
                                                    A                                         ES&H         Fermilab       EH       MA,SV        Annual            10/1/2011                          Y        OQBP                 Michels probably just the rollup of each          ES&H
                                                                                                                                                                                                                                              D/S/C reports to Nancy. Since this
                                                                                                                                                                                                                                              is dated in the 4thQ is it the ES&H
                                                                                                                                                                                                                                              lab-wide self-assessment and is it a
                                                                                                                                                                                                                                              rollup? SV is confusing.
                                                                                                                                                                                                                                              TM/JD to explain and identify the
                                                                                                                                                                                                                                              both DOE/OQBP self-assessments
                                                                                                                                                                                                                                              in this list.
                                                                                                                                                                                                                                              Are these really SV? added MA                     OQBP       OQBP
                   192.0                              DOE Agreement self-                                                                                                                                                                                                                                                189.0
                                                    A assessment Report / Security            ES&H         Fermilab       EH       MA,SV        Annual             1/1/2012                          Y         OQBP                 Michels                                          ES&H
                                                      Safeguards                                                                                                                                                                                                                                OQBP       OQBP
                   193.0                              DOE Agreement self-                                                                                                                                                                                                                                                190.0
                                                      assessment Report (DOE/OQBP
                                                    A                                         ES&H         Fermilab       EH       MA,SV        Annual             7/1/2012                          Y         OQBP                 Michels                                          ES&H
                                                      lists).  / 4th Q ES&H (Lab-
                                                      wide)                                                                                                                                                                                                                                     OQBP       OQBP
                   196.0                              Emergency Readiness                                                                                                                                                                        Administrative - tracked by DOE                                         193.0
                                                   RP                                         ES&H         Fermilab       EH         SV         Annual             8/1/2012                          Y                                 James                                         ES&H
                                                      Assurance Plan (ERAP)                                                                                                                                                                      Not an assessment
                   197.0                              Storm water runoff - NPDES -                                                                                                                                                               Storm water pollution prevention                                        194.0
                                                      National Pollution Discharge                                                                                                                                                               inspection Report. Required by
                                   C100            IN Elimination System PERMIT               ES&H         Fermilab       EH         SV         Annual             9/1/2012                          N          EPA                    Kosirog   Permit                              ES&H
                                                                                                                                                                                                                                                 Not organized lab-wide. JohnD to
                                                                                                                                                                                                                                                 follow up on this & NPDES.
                   198.0                           DR Fire drill                              ES&H         Fermilab       EH         SV         Annual             9/1/2012                          Y         NFPA                    James     NFPA & DOE Requirement              ES&H                                195.0
                   199.0                              ESHS plan implementation                                                                                                                                                                   Each D/S/C creates annual plan,                                         196.0
                                                   A assessment                               ES&H         Fermilab       EH         MA         Annual            10/1/2012                          N                                 Cassidy   ES&H Summarizes & Reports to        ES&H
                                                                                                                                                                                                                                                 DOE
                   200.0           C96?             IN ESHS head walkthroughs                 ES&H          ESHS          EH         MA         Annual            11/1/2012                          N                                Grossman                                       ES&H                                197.0
                   201.0                               Hazard Control Technology                                                                                                                                                                 Part of Self Assessment Program -                                       198.0
                                                       Team (HCTT) Inspections                                                                                                                                                                   Consolidated Internal Routine
                                   C220              A                                        ES&H          ESHS          EH         MA        Quarterly          11/1/2012                          N                                 Hockin                                        ES&H
                                                                                                                                                                                                                                                 Quarterly and Monthly Inspection
                                                                                                                                                                                                                                                 by S.A.P.
                   202.0                                  EOC drill Emergency                                                                                                                                                                    Table top unless an actual event                                        199.0
                                                          Operations Center                                                                                                                                                                      takes place. Clumsier than real
                                                   DR                                         ES&H         Fermilab       EH         SV         Annual            11/1/2012                          Y                                 James     event because all participants      ES&H
                                                                                                                                                                                                                                                 checking each other rather than
                                                                                                                                                                                                                                                 simply executing
                   203.0                                  Respirator program review                                                                                                                                                              Surveillance/inspection by                                              200.0
                                                                                                                                                                                                                                                 observing the use of personal
                                                    IN                                        ES&H         Fermilab       EH         SV         Biennial          11/1/2012                          N         OSHA                     Baird                                        ES&H
                                                                                                                                                                                                                                                 protective equipment PPE -
                                                                                                                                                                                                                                                 respirators

35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                            Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                               Page 25 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                             Date         DOE                                                                                                        Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                 Frequency       Planned Start Date                             Other Req?     Status          POC                   Comments                 Org     Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                              Complete       Req?                                                                                                        Owner        Order

                   204.0                                    Highly-Protected Risk (HPR)                                                                                                                                                                Includes Tornado Drill, March 2012                                        201.0
                                   C92?             IN        inspections FESHM 6015          ES&H         Fermilab       EH         SV          Biannual                                                                               Priest/James and Fire Evacuation, October 21012.     ES&H
                                                             Waste Stor Facility Site 40                                                                             4/26/2012
                   205.0                                    Highly-Protected Risk (HPR)                                                                                                                                                                                                                                          202.0
                                                    IN        inspections FESHM 6015          ES&H         Fermilab       EH         SV        Every 5 years                                                                            Priest/James                                         ES&H
                                                                      Super Shed                                                                                      5/9/2012
                   206.0                                    Highly-Protected Risk (HPR)                                                                                                                                                                Includes Tornado Drill, March 2012                                        203.0
                                                    IN        inspections FESHM 6015          ES&H         Fermilab       EH         SV          Biannual                                                                               Priest/James and Fire Evacuation, October 21012.     ES&H
                                                                         RPCF
                   207.0                                    Highly-Protected Risk (HPR)                                                                                                                                                                Includes Tornado Drill, March 2012                                        204.0
                                                    IN        inspections FESHM 6015          ES&H         Fermilab       EH         SV          Biannual                                                                               Priest/James and Fire Evacuation, October 21012.     ES&H
                                                                    F55 WSTOR3
                   208.0                                    Highly-Protected Risk (HPR)                                                                                                                                                                Includes Tornado Drill, March 2012                                        205.0
                                                    IN        inspections FESHM 6015          ES&H         Fermilab       EH         SV          Biannual                                                                               Priest/James and Fire Evacuation, October 21012.     ES&H
                                                                    F55 WSTOR2
                   209.0                                    Highly-Protected Risk (HPR)                                                                                                                                                                Includes Tornado Drill, March 2012                                        206.0
                                                    IN        inspections FESHM 6015          ES&H         Fermilab       EH         SV          Biannual                                                                               Priest/James and Fire Evacuation, October 21012.     ES&H
                                                                    F55 WSTOR1
                   214.0                                  AED Automatice External                                                                                                                                                                      Inspection                                                                211.0
                                                    IN                                        ES&H         Fermilab       EH         SV          Monthly                                                N                                  Gibbs                                             ES&H
                                                          Defibrillator inspection                                                                                    Frequent
                   217.0                                  Sitewide Emergency Warning                                                                                                                                                                   James                                                                     214.0
                                                    TS                                        ES&H         Fermilab       EH         SV          Monthly                                                N                                  James                                             ES&H
                                                          System (SEWS) test                                                                                          Frequent
                   218.0                                  Confined space permit and                                                                                                                                                     D/S            D/S/Cs                                                                    215.0
                                                   RP                                        Fermilab      D/S/Cs         EH         SV          Monthly                                                N         OSHA                                                                       ES&H
                                                          classification                                                                                                                                                                               Pelletron found not on list
                   219.0                                  Sitewide Storm water runoff -                                                                                                                                                                 Monthly Reporting to IEPA Done                                           216.0
                                   C89             RP     NPDES - National Pollution          ES&H         Fermilab       EH         SV          Monthly                                                N          EPA                    Kosirog      site wide. Do not consolidate with    ES&H
                                                          Discharge Elimination System                                                                                                                                                                 Line #197
                   221.0                                  Quarterly CAIRS report reviews                                                                                                                                                               Done w John Scott FSO who                                                 217.0
                                                          Computerized Accident                                                                                                                                                                        reports results to HQ. This is not
                                                   RP     Incident Reporting System -         DOE          Fermilab       EH         SV         Quarterly            4/13/2012                          N                                 Michels      an assessment it is a Work Process    ES&H
                                                          FSO

                   222.0                           RP CAIRS/Incident trending                 ES&H         Fermilab       EH         SV         Quarterly            4/13/2012                          Y                                 James        Formal Requirement                    ES&H                                218.0
                                                   A PEMP Assessment and Review               DOE            DOE                     SV          Annual              11/1/2012                          Y                   Complete     Grossman                                            ES&H
                                                      Lab wide ES&H Program Self
                                                      Assessment                                                                                                                                                                         Martha
                                                   A                                          DOE          Fermilab                  SV           Annual             12/1/2012                          Y                    Complete                                                        ES&H
                                                                                                                                                                                                                                         Michiels

                                                                                                                                                                                                                                                       Goals: Look at material handling
                                                                                                                                                                                                                                                       equipment to verify that the
                                                                                                                                                                                                                                                       equipment is used in accordance
                                                                                                                                                                                                                                                       with the manufacturer
                                                                                                                                                                                                                                                       recommendations. re there
                                                                                                                                                                                                                                                       warnings and cautions stated in the
                                                                                                                                                                                                                                                       users manual that need to be
                                                             Tripartite Assessment /
                                                                                                                                                                                                                                           John        followed? How familiar are the
                                                    A     Material Handling – using carts,    ES&H         Fermilab       EH         TP         Semienniel           4/16/2012         5/14/2012        Y                                                                                    ES&H
                                                                                                                                                                                                                                          Dawson       employees with these alerts?
                                                                barrel movers, etc.
                                                                                                                                                                                                                                                       Observe and determine if there are
                                                                                                                                                                                                                                                       ergonomic issues with the
                                                                                                                                                                                                                                                       equipment and its use.

                                                                                                                                                                                                                                                       If training is required- what type
                                                                                                                                                                                                                                                       and in what format?                          Tripartite     ES&H
                                                                                                                                                                                                                                                       Review supporting documentation
                                                            KPMG-Active Facility Data
                                                                                                                                                                                                                                           John        for a sample of the facilities that
                                                    A          Collection Systems             DOE          Fermilab      ALL         TP           Once                4/1/2012         8/312012         Y         KPMG                                                                       ES&H
                                                                                                                                                                                                                                          Dawson       comprise the Fermi liability as of
                                                                (AFDCS)Audit
                                                                                                                                                                                                                                                       6/30/12.
                   231.0                                                                                                                                                                                                                                                                                                         231.0
                                                                DOE Agreement Self-
                                                          assessment Report (DOE/OQBP
                                                    A                                         FESS          FESS          CA         MA          Annual               4/1/2012                          Y         OQBP                                                                       FESS
                                                          lists). Infrastructure - Routine
                                                            maintenance Self-assessment
                                                                                                                                                                                                                                                                                                                   OQBP
                   232.0                                                                                                                                                                                                                                                                                                         232.0
                                                                DOE Agreement Self-
                                                          assessment Report (DOE/OQBP
                                                    A                                         FESS          FESS          CA         MA          Annual               4/1/2012                          Y         OQBP                                                                       FESS
                                                           lists). Infrastructure - Energy
                                                           Conservation Self-assessment
                                                                                                                                                                                                                                                                                                                   OQBP
                                                            Information Technology -                                                                                                                                                                   FNAL2011-03
                                                    A       Change Management (IAD            IAD            CD           IT         IA         As Needed                              4/4/2011                    IAD       Complete                                                         CS
                                                                  Annual Plan)                                                                                                                                                                                                                        IAD           IAD

                                                           IT Service Level Management
                                                    A                                         IAD            CD           IT         IA         As Needed           11/22/2011                          N          IAD                                                                        CS
                                                                (IAD Annual Plan)
                                                                                                                                                                                                                                                                                                      IAD           IAD



35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                               Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                    Page 26 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                             Date         DOE                                                                                                      Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                 Frequency       Planned Start Date                             Other Req?     Status       POC                  Comments                   Org     Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                              Complete       Req?                                                                                                      Owner        Order

                   233.0                                                                                                                                                                                                                            KPMG for Cindy Conger CFO.                                                 233.0
                                                                                                                                                                                                                                                    Alicia Filak - Internal audit
                                                                                                                                                                                                                                                    department (IAD) is tasked with
                                                           KPMG Financial Statement
                                                                                                                                                                                                                                                    assessing special process spares
                                                    A     Audit & Special Process Spares     IAD,KPMG        AD           FI      IA,MA,TP       Annual                                                 Y          Fermi                                                                   FESS
                                                                                                                                                                                                                                                    inventory annually per Alicia.
                                                                 (SPS) Inventory
                                                                                                                                                                                                                                                    Different organizations selected
                                                                                                                                                                                                                                                    annually but TD . AD & FESS for
                                                                                                                                                                                                                                                    SPS (per accounting)..                          IAD           IAD
                   234.0                                                                                                                                                                                                                            OECM=Office of Engineering &                                               234.0
                                                            DOE Facility Information
                                                                                                                                                                                                                                                    Construction Mgmt.
                                                           Management system (FIMS)
                                                                                                                                                                                                                                                    Different activities each year
                                                    A       data validation by CH and         DOE-CH        FESS          CA         TP          Annual               4/7/2012                          Y                                                                                  FESS
                                                                                                                                                                                                                                                    Documents are assessed via review
                                                             OECM incl. Condition
                                                                                                                                                                                                                                                    and interviews to support entries in
                                                                    assessment
                                                                                                                                                                                                                                                    FIMS database
                   239.0                           DR        WH Annual Fire Drill              FESS         FESS          EH         MA          Annual              10/1/2010                          Y                                                                                  FESS                                239.0
                   240.0                           DR       WH Annual Tornado Drill            FESS         FESS          EH         MA          Annual               3/1/2010                          Y                                                                                  FESS                                240.0
                   241.0                                                                                                                                                                                                                          Goal: Assess tree removal and                                                241.0
                                                                                                                                                                                                                                                  trimming activities by the FESS
                                                          Tripartite Assessment / Tree
                                                                                                                                                                                                                                                  Roads and Grounds Group to
                                                    A     Removal/Trimming Activities      ES&H,FESS,DOE    FESS        EH,QA     IA,MA,TP      Semiannual           3/27/2012         4/30/2012        Y        FESHM       Complete   Bonkalski                                          FESS
                                                                                                                                                                                                                                                  ensure that internal procedures
                                                                                                                                                                                                                                                  and ANSI standards are being
                                                                                                                                                                                                                                                  followed.                                       Tripartite     ES&H
                   242.0                            A      QA assessment (Procurement)         OQBP         FESS          QA         IA           Once               2/12/2012                                                                    12-QA-008                                FESS                  OQBP          242.0
                   244.0                                    ISO 14001 Environmental                                                                                                                                                               Was one line item before split.                                              244.0
                                                    A                                       NSF registrar   FESS          EH        MA,TP       Semiannual            2/1/2012                          N           ISO     On Schedule                                                    FESS
                                                            Mgmt Systems assessment                                                                                                                                                               Simultaneous by NSF                             ISO 14001    ISO 14002
                   245.0                                   OHSAS 18001 Occupational                                                                                                                                                               Was one line item before split.                                              245.0
                                                    A                                       NSF registrar   FESS          EH        MA,TP       Semiannual            2/1/2012                          N         OHSAS     On Schedule                                                    FESS
                                                             Health Safety assessment                                                                                                                                                             Simultaneous by NSF                              OHSAS        OHSAS
                   246.0                                  DOE H13 Contractor Assurance                                                                                                                                                                                                                                         246.0
                                                    A                                         DOE-CH        FESS          CA         TP        As Requested            2012?                            Y                                                                                  FESS
                                                                      Audit
                   248.0                                                                                                                                                                                                                            Primarily in Services group.                                               248.0
                                                                                                                                                                                                                                                    Tracked & trended by dept mgr.
                                                                                                                                                                                                                                                    Could be summarized Quarterly,
                                                            Monthly (Du Pont method)                                                                                                                                                                semiannual or other using the new
                                                    A                                          FESS         FESS          EH         SV          Monthly              Monthly                           N                                                                                  FESS
                                                                  safety audits                                                                                                                                                                     MA form. Provides evidence of
                                                                                                                                                                                                                                                    assessment activities that DOE &
                                                                                                                                                                                                                                                    others outside FESS are not aware
                                                                                                                                                                                                                                                    of.
                   249.0                                  Highly Protected Risk (HPR) /                                                                                                                                                             Same as FESS No. 437.
                                    437             IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Biannual                                                                                           REC FAC 163-164                        FESS
                                                              REC FAC 163-164
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Annual                                                                                                                                    FESS
                                                                   Wilson Hall
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Annual                                                                                                                                    FESS
                                                                CENT.UTILITY
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Annual                                                                                                                                    FESS
                                                               MASTER SUBST
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Annual                                                                                                                                    FESS
                                                                CASEY PUMPH
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Annual                                                                                                                                    FESS
                                                                Kautz Rd Station
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA        Every 5 years                                                                                                                               FESS
                                                                 SITE 3 BARN
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA        Every 5 years                                                                                                                               FESS
                                                                  SITE 3 SHED
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA        Every 5 years                                                                                                                               FESS
                                                                 SITE 12 BARN
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Biannual                                                                                                                                  FESS
                                                                    F37 SHOP
                   250.0                                  Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Biannual                                                                                                                                  FESS
                                                                   F38 OPERA
                   251.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                        250.0
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Biannual                                               N                                                                                  FESS
                                                                   F37 EQUIP
                   252.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                        251.0
                                                    IN            FESHM 6015                ES&H, FESS      FESS          EH         MA          Biannual                                               N                                                                                  FESS
                                                               F38 MAINT GAR

35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                               Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                  Page 27 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org               Assessment                                             Date         DOE                                                                                                   Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                  Systems                 Frequency       Planned Start Date                             Other Req?    Status       POC                    Comments                  Org    Filters
                                                              Orders, Permits etc)                          D/S/C                    Method                                              Complete       Req?                                                                                                   Owner        Order

                   253.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       252.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA          Biannual                                               N                                                                                  FESS
                                                               F39 FAC MNGMT
                   254.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       253.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA          Biannual                                               N                                                                                  FESS
                                                               F38 MAINT SHED
                   255.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       254.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA          Biannual                                               N                                                                                  FESS
                                                                    F38 Carp
                   256.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       255.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA        Every 5 years                                            N                                                                                  FESS
                                                                     ROPE
                   257.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       256.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA        Every 5 years                                            N                                                                                  FESS
                                                                   F52 BARN
                   258.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       257.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA          Annual                                                 N                                                                                  FESS
                                                                 F55 GARAGE
                   259.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       258.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA        Every 5 years                                            N                                                                                  FESS
                                                                 SITE 65 BARN
                   260.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       259.0
                                                    IN            FESHM 6015                ES&H, FESS        FESS          EH         MA        Every 5 years                                            N                                                                                  FESS
                                                                SITE 70 ST BRN
                   261.0                                                                                                                                                                                                                               Mgmt by walking around (MBWA).                                         261.0
                                                                                                                                                                                                                                                       Informal. Issues tracked
                                                                                                                                                                                                                                                       informally. No desire to formalize
                                                                                                                                                                                                                                                       (ESHTRK etc). Consolidation with
                                                          Project Engineers Construction
                                                   WT                                          FESS           FESS          QA         SV           Various              ad hoc                           N                                            HPRs considered, outcome -diff        FESS
                                                                Site Walk-throughs
                                                                                                                                                                                                                                                       focus, diff freq. >not a good idea.
                                                                                                                                                                                                                                                       Could periodically trend &
                                                                                                                                                                                                                                                       summarize on new MA form.

                   263.0                                                                                                                                                                                                                               Could consolidate with HPR                                             263.0
                                                                                                                                                                                                                                                       inspections and any local Dept
                                                                                                                                                                                                                                                       Head EH inspections / walk
                                                    A     Construction Site Safety Audit   FESS,DOE, ESH      FESS          EH        IA,MA         weekly                                                Y                                                                                  FESS
                                                                                                                                                                                                                                                       throughs. This item added to the
                                                                                                                                                                                                                                                       list duirng 05/24/2010 meeting JJC,
                                                                                                                                                                                                                                                       JH, RW
                   265.0                                  QA assessment (Design/Eng. &                                                                                                                                                                 12-QA-018                                                              265.0
                                                    A                                         OQBP            FESS          QA         IA           Once               8/20/2012                                                                                                             FESS
                                                                Work Processes)
                                                           ARRA General Plant Projects                                                                                                                                                                 FNAL2011-05
                                   132 ?            A                                          IAD           FI, FESS       BO         IA         As Needed                              8/15/2011        N          IAD      Complete                                                       FESS
                                                               (IAD Annual Plan)
                                                               Service Center Labor
                                                    A                                          IAD         FI, FESS, TD     BO         IA         As Needed            9/14/2011                          N          IAD                                                                     FESS
                                                          Chargebacks (IAD Annual Plan)
                                                                                                                                                                                                                                                                                                     IAD         IAD
                                                                                                           BSS, FI, FRA                                                                                                                                FNAL2010-04
                                                          Contract Clause I.118 - Annual                    Corp, TD,
                                                    A      Allowable Cost Audit (IAD           IAD          PPD, CD,        FI         IA          Annual                                9/27/2010        Y                   Complete                                                       FESS
                                                                   Annual Plan)                             FESS, AD,
                                                                                                             WDRS                                                                                                                                                                                    IAD         IAD
                                                                                                           BSS, FI, FRA                                                                                                                                FNAL2011-02
                                                          Contract Clause I.118 - Annual                    Corp, TD,
                                                    A      Allowable Cost Audit (IAD           IAD          PPD, CD,        FI         IA          Annual                                4/22/2010        Y                   Complete                                                       FESS
                                                                   Annual Plan)                             FESS, AD,
                                                                                                             WDRS                                                                                                                                                                                    IAD         IAD
                                                                                                           BSS, FI, FRA
                                                          Contract Clause I.118 - Annual                    Corp, TD,
                                                    A      Allowable Cost Audit (IAD           IAD          PPD, CD,        FI         IA          Annual               2/1/2012                          Y                                                                                  FESS
                                                                   Annual Plan)                             FESS, AD,
                                                                                                             WDRS                                                                                                                                                                                    IAD         IAD
                                                                  HPSB Building                                                                                                                                                                        Part of Sustainability Directives
                                                                                                                                                   Once per
                                                    A     Assessment/SSPP and Fermilab     FESS               FESS          BO         MA                              As Needed                         Y                                 Walton                                            FESS
                                                                                                                                                   Building
                                                                       SSP
                                                            CUB Pre-treatment Water                                                                                                                                                                    Required by permit
                                                   MO       Quality/IEPA Pretreatment      FESS               FESS          BO         MA         As needed            As Needed                         N                                  Kee                                              FESS
                                                                      Permit
                                                          Building meter readings/EISA
                                                   MO                                      FESS               FESS          BO         MA          Monthly              1/1/2012                         Y                               Krstulovich                                         FESS
                                                                   & HPSB Plan
                                                               Management Walk-
                                                   WT                                  DOE, FESS, DIR         FESS          BO         SV          Monthly              1/1/2012                         N                               Bonkalski                                           FESS
                                                                 through/FESHM
                                                   RP     Monthly Departmental Reviews     FESS               FESS          BO         MA          Monthly              1/1/2012                         N                                                                                   FESS
                                                   IN           Roof Inspections'          FESS            Landlord Org     BO         SV         as needed             1/1/2012                         N                                                                                   FESS
                                                   IN        Maintenance Inspections       FESS               FESS          BO         SV         as needed             1/1/2012                         N                                                                                   FESS
                                                   IN           Permit inspections         FESS               FESS          BO         SV         as needed             1/1/2012                         N                                                                                   FESS


35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                 Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                               Page 28 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                   Assessment                                          Date         DOE                                                                                                        Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                      Systems                Frequency     Planned Start Date                             Other Req?     Status        POC                     Comments                  Org    Filters
                                                              Orders, Permits etc)                          D/S/C                        Method                                           Complete       Req?                                                                                                        Owner        Order

                   266.0                                                                                                                                                                                                                                   FNAL2009-06                                                              266.0
                                                           FY09 Allowable Cost Audit -                        FI, BSS, FRA
                                                    A                                            IAD                            FI         IA         Annual             2/1/2012                         Y                    Not Started   C. Conger                                           FI
                                                              Contract Clause I.118                                Corp
                                                                                                                                                                                                                                                                                                          IAD          IAD
                   267.0                                  FY11 FRA Financial Statement                                                                                                                                                                 Acting FRA CFO C. Conger                                                     267.0
                                                    A                                           KPMG              Lab           FI         TP         Annual            6/27/2011                          N          LLC      In Progress   C. Conger                                           FI
                                                                    Audit                                                                                                                                                                              oversees audit for FRA, LLC                      KPMG          KPMG
                   268.0                                    FY11 FRA A-133 (Grants)                                                                                                                                                                    Acting FRA CFO C. Conger                                                     268.0
                                                    A                                           KPMG               FI           FI         TP         Annual           10/31/2011                          N          LLC      In Progress   C. Conger                                           FI
                                                                    Audit                                                                                                                                                                              oversees audit for FRA, LLC                      KPMG          KPMG
                   269.0                            A     CY11 401a Benefit Plan Audit          KPMG           WDRS, FI         FI         TP         Annual            5/14/2012                          N          DOL      Not Started   M. Todd DOL=Dept of Labor                           FI     KPMG          KPMG          269.0
                   270.0                            A     CY11 403b Benefit Plan Audit          KPMG           WDRS, FI         FI         TP         Annual            5/14/2012                          N          DOL      Not Started   M. Todd New requirement for 2009 forward            FI     KPMG          KPMG          270.0
                   271.0                                                                                                                                                                                                                                                                                                            271.0
                                                                DOE Agreement self-
                                                    A     assessment Report (DOE/OQBP             FI          FI/Accounting     FI         MA         Annual             1/3/2012                          Y         OQBP      Not Started M. Rhoades                                            FI
                                                               lists). FI/Accounting
                                                                                                                                                                                                                                                                                                                      OQBP
                   272.0                                                                                                                                                                                                                                                                                                            272.0
                                                               DOE Agreement self-
                                                    A     assessment Report (DOE/OQBP             FI            FI/Budget       FI         MA         Annual             1/3/2012                          Y         OQBP      Not Started   C. Trimby                                           FI
                                                                lists). FI/Budget
                                                                                                                                                                                                                                                                                                                      OQBP
                   273.0                                     OMB A-123 Management
                                                    A     assessment of Internal Controls       IAD, FI           Lab           FI        IA,MA       Annual             3/1/2012                          Y                   Not Started M. Rhoades                                            FI
                                                             Over Financial Reporting                                                                                                                                                                                                                     IAD          IAD
                   274.0                                                                                                                                                                                                                                 1. Verify the organizations ES&H
                                                                                                                                                                                                                                                         Self-Assessment Program,
                                                                                                                                                                                                                                                         including:
                                                                                                                                                                                                                                                         a) Implementation of the
                                                              Tripartite Assessment \                                                                                                                                                                    organization’s FY ES&H Plan
                                                                                             ES&H, FI and
                                                    A      Finance Section Management                              FI           EH      IA,MA,TP     As Needed          6/18/2012         8/24/2012        Y         ES&H                    G. Mitchell (PEMP Goals; FI ES&H risks)             FI
                                                                                                DOE
                                                            Meeting and Tour (ES&H)                                                                                                                                                                      b) Effectiveness of ES&H
                                                                                                                                                                                                                                                         Management Meeting
                                                                                                                                                                                                                                                         c) Effectiveness of ES&H Tours
                                                                                                                                                                                                                                                         d) Verify that employees are aware
                                                                                                                                                                                                                                                         of basic ES&H procedures                      Tripartite     ES&H
                   275.0                                                                                                                                                                                                                                 Is this the same as ES&H item 125
                                                                                                                                                                                                                                                         Tripartite? Is DOE, ES&H & FI
                                                                                                                                                                        2/07/2012
                                                          Management Walk-through for                                                                                                                                                        C. Conger, conducting? JH ask Cindy and or
                                                    A                                             FI               FI           EH         MA        Quarterly          5/10/2012        11/10/2011        N                     Partial                                                         FI
                                                            ES&H - FESHM 1040.1                                                                                                                                                              G. Mitchell Greg - No. These are walk
                                                                                                                                                                        8/09/2012
                                                                                                                                                                                                                                                         throughs which are separate from
                                                                                                                                                                                                                                                         the tripartite.
                   276.0                                                                                                                                                                                                                                                                                                            273.0
                                                    A     FY11 - DOE PEMP assessment              FI               FI           FI         MA         Annual                             12/15/2011        Y                   Complete      C. Conger                                           FI
                   277.0                                                                                                                                                                                                                               Inserted as placeholder . For FY11-                                          274.0
                                                                                                                                                                                                                                                       Changes to FRA Board - Contractor
                                                           FRA Visiting Committee for
                                                    A                                            FRA               FI         QA,FI        IA         Annual                                               N                   Complete      C. Conger Assurance assessment / H13 Clause         FI
                                                           Adminstration & Operations
                                                                                                                                                                                                                                                       (Formerly Peer Review) - JH
                                                                                                                                                                                                                                                                                                         FRA           FRA
                   278.0                                                                                                                                                                                                                                Required by Accounting Handbook                                             275.0
                                                                                                                                                                                                                                                        (DOE Order)
                                                                                                                                                                   1/31/2012 4/30/2012
                                                    A     Review of Banking Agreement             FI               FI           FI         MA        Quarterly                         10/31/2011          Y                     Partial     M. Rhoades Submitted in month following             FI
                                                                                                                                                                        7/31/2012
                                                                                                                                                                                                                                                        calendar quarter end

                   279.0                            A     DOE Recovery Audit Program              FI               FI           FI         MA         Annual            8/31/2012                          Y                   Not Started M. Rhoades                                            FI                                 276.0
                   280.0                                   Bienniel Review of Prices                                                                                                                                                                Despite the name, we're asked to                                                277.0
                                                    A                                             FI               FI           FI         MA         Annual                             11/30/2011        Y                    Complete M. Rhoades                                              FI
                                                                    Charged                                                                                                                                                                         review annually.
                   281.0                                                                                                                                                                                                                            Replaced prior time and labor audit                                             278.0
                                                               Service Center Labor
                                                    A                                            IAD          FI, FESS, TD      FI         IA        As Needed          9/14/2011                          N                   In Progress          which previously held No. 282.0 -            FI
                                                                Chargebacks Audit
                                                                                                                                                                                                                                                    JW                                                    IAD          IAD
                                                                                                                                                                                                                                                    Added after discussion with Mary
                                                            Grants Management and
                                                                                            Non DOE Federal                                                                                                                                         Jo Lyke - Non DOE Federal
                                                    A       Financial Reporting Desk                               FI           FI         IA        As Needed                                             N                   Not Started MJ Lyke                                               FI
                                                                                               Agencies                                                                                                                                             Agencies which sponsor projects at
                                                                    Reviews
                                                                                                                                                                                                                                                    the lab often perform desk reveiws.
                                                              Service Subcontract                                                                                                                                                                   Addition from IA FY12 plan. - JW
                                                    A                                            IAD             BSS, FI      BSS, FI      IA        As Needed          11/8/2011                          N                   In Progress                                                       FI
                                                              Administration Audit
                                                                                                                                                                                                                                                           OIG performs an audit of the
                                                                                                                                                                                                                                                           Statement of Cost Incurred and
                                                          OIG - SCIC Audit FY08, FY09,                                                                                                                                                                     Claimed and related systems after
                                                    A                                          DOE OIG             FI           FI         TP        As Needed                                             Y                   Not Started M. Rhoades                                            FI
                                                                  FY10, FY11.                                                                                                                                                                              annual results are reported. In
                                                                                                                                                                                                                                                           FY12, they are auditing four years
                                                                                                                                                                                                                                                           within a single audit.
                                                             FI ESH Self assessment -                                                                                                                                                        C. Conger,    Added after discussion with Greg. -
                                                    A                                             FI               FI           EH         MA         Annual             9/1/2012                          N         ES&H      Not Started                                                       FI
                                                                 FESHM 1040.1                                                                                                                                                                G. Mitchell   JW
                                                                                                                                                                                                                                             C. Conger,    Added after discussion with Greg. -                                      279.0
                                                   DR             Drill Critiques                 FI               FI           EH         MA        Semiannual    October and March                       N         ES&H        Partial                                                         FI
                                                                                                                                                                                                                                             G. Mitchell   JW
                                                                                                                                                                                                                                                           Added after discussion with Greg. -                                      280.0
                                                          DOE-FSO assessment Response                                                                                                                                                        C. Conger,
                                                   MO                                           ES&H               FI           EH         MA        As Needed                                             N                   Not Started                 JW                                    FI
                                                           and Corrective Action Plans                                                                                                                                                       G. Mitchell




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                  Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                    Page 29 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                   Assessment                                          Date         DOE                                                                                                             Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                      Systems                Frequency     Planned Start Date                             Other Req?    Status       POC                      Comments                    Org        Filters
                                                              Orders, Permits etc)                          D/S/C                        Method                                           Complete       Req?                                                                                                             Owner        Order

                                                             OMB A-123 Management
                                    273             A     assessment of Internal Controls       IAD, FI           Lab           FI       IA, MA       Annual             3/1/2012                                                                                                                  FI
                                                             Over Financial Reporting                                                                                                                                                                                                                          IAD          IAD
                   284.0                                       DOE Review of CMS                                                                                                                                                                         TBD - Lines of Inquiry not known.                                               284.0
                                                    A                                          DOE,NSF            PPD           SS        IA,MA        Annual            3/8/2012                                                                                                                 PPD
                                                                    Operations
                   292.0                                                                                                                                                                                                                                 Head evaluator (on call?) Butch                                                 292.0
                                                          Evaluation of evaluators of Fork                                                                                                                                                               Bianchi evaluates/assesses PPD staff
                                                    A                                             PPD             PPD         EH,QA        MA        As Needed           2/1/2012                          N               N              Angela Sands                                            PPD
                                                           Lift Training / FESHM 5023                                                                                                                                                                    who evaluate trained fork lift users.

                   293.0                                    Director's CD-1 Review of                                                                                                                                                                    LBNE project reports to directorate.                                            293.0
                                                    A     LBNE - Long Baseline Neutrino           DIR             PPD           SS         DA          Once             3/26/2012                                                          Jim Strait                                            Sci/Proj
                                                                   Experiment
                   294.0                                   DOE CD-1 Review of LBNE -                                                                                                                                                                     LBNE project reports to directorate.                                            294.0
                                                    A        Long Baseline Neutrino              DOE              PPD           SS         TP          Once             7/16/2012                                                          Jim Strait                                            Sci/Proj
                                                                   Experiment
                   296.0                                                                                                                                                                                                                                 Goals: The goal is to review how                                                296.0
                                                                                                                                                                                                                                                         well PPD has implemented the
                                                                                                                                                                                                                                                         requirements of FESHM 8031 Oil
                                                                                                                                                                                                                                                         Pollution Prevention chapter. This
                                                                                                                                                                                                                                                         chapter addresses the EPA
                                                                                                                                                                                                                                                         requirement to have a Spill
                                                                                                                                                                                                                                                         Prevention, Control and
                                                                                                                                                                                                                                                         Countermeasure program. The
                                                              Tripartite Assessment                                                                                                                                                                      assessment will review the
                                                                                                                                                                                                                                            Bushek,
                                    Co              A         SPCC Implementation            PPD,ES&H,DOE          AD           EH      IA,MA,TP       Once            11/15/2011         4/5/2012         N        FESHM      Complete                  Fermilab program and determine           PPD
                                                                                                                                                                                                                                             Sands
                                                                  FESHM 8031                                                                                                                                                                             how well PPD has implemented its
                                                                                                                                                                                                                                                         requirements.

                                                                                                                                                                                                                                                         A secondary goal of the assessment
                                                                                                                                                                                                                                                         is to team up with AD and CD to
                                                                                                                                                                                                                                                         serve as a model on how multiple
                                                                                                                                                                                                                                                         divisions can work together when
                                                                                                                                                                                                                                                         performing tripartite assessments.
                                                                                                                                                                                                                                                                                                            Tripartite     ES&H
                   300.0                                   Director's Progress Review of                                                                                                                                                                 DOE review. NOVA project reports                                                300.0
                                                    A        NOvA pre CD-4 progress               DIR            NOvA           SS         MA          Once          before 11/3/2014                      N                                             to PP Sector, not PPD.                  Sci/Proj
                                                                       review
                   301.0                                                                                                                                                                                                                                 DOE review. NOVA project reports                                                301.0
                                                          DOE Progress Review of NOvA
                                                    A                                            DOE             NOvA           SS         TP          Once             11/3/2014                                                                        to PP Sector, not PPD.                  Sci/Proj
                                                            pre CD-4 progress review
                   311.0                                    DOE Agreement self-                                                                                                                                                                          3rd Q Annually                                                                  311.0
                                                                                                                                                                                                                                           Richard Van
                                                      assessment Report (DOE/OQBP
                                                                                                                                                                                                                                           de Water at
                                                                    lists).                                                                                                              ongoing as
                                                   A                                              PPD             PPD           QA         MA         Annually           4/1/2012                          Y         OQBP                  Los Alamos                                             PPD
                                                        Programmatic Operations &                                                                                                       of 2/10/2012                                      (vdwater@fna
                                                         Maintenance - MiniBooNE                                                                                                                                                              l.gov)
                                                                 Operations                                                                                                                                                                                                                                                OQBP
                   312.0                                    DOE Agreement self-                                                                                                                                                                          3rd Q Annually                                                                  312.0
                                                      assessment Report (DOE/OQBP
                                                                    lists).
                                                   A                                              PPD             PPD           QA         MA         Annually           4/1/2012                          Y         OQBP                                                                         PPD
                                                        Programmatic Operations &
                                                           Maintenance - MINOS
                                                         Operations & Maintenance                                                                                                                                                                                                                                          OQBP
                   318.0                                 ISO 14001 Environmental                                                                                                                                                            Eric         This may or may not happen to our                                               318.0
                                                   A                                          NSF registrar     Fermilab      EH,QA       MA,TP      Semiannual          6/1/2012                          N           ISO                                                                        PPD
                                                         Mgmt Systems assessment                                                                                                                                                           McHugh         division in 2012. (Eric McHugh)                   ISO 14001    ISO 14002
                   319.0                                OHSAS 18001 Occupational                                                                                                                                                            Eric         This may or may not happen to our                                               319.0
                                                   A                                          NSF registrar     Fermilab      EH,QA       MA,TP      Semiannual          6/2/2012                          N         OHSAS                                                                        PPD
                                                          Health Safety assessment                                                                                                                                                         McHugh         division in 2012. (Eric McHugh)                    OHSAS        OHSAS
                   320.0                                 D-Zero complex (includes                                                                                                                                                                                                                                                        320.0
                                                      assembly building, portakamps,                                                                                                                                                        Dennie
                                                   WT                                          DOE,PPD           PPD/D0         EH         MA          Once             1/17/2012                          Y           EH      Complete                          DOE, PPD, Bldg Mgr               PPD
                                                        office building and C4 pump                                                                                                                                                         Parzyck
                                                                    house)
                   321.0                                   Village Labs 7 & 8 (w/                                                                                                                                                                                                                                                        321.0
                                                                                                                PPD/Tech                                                                                                                    Dennie
                                                   WT    associated houses & 31/33             DOE,PPD                          EH         MA          Once             2/28/2012                          Y           EH      Complete                          DOE, PPD, Bldg Mgr               PPD
                                                                                                                 Center                                                                                                                     Parzyck
                                                                 Blackhawk)
                   322.0                                                                                                                                                                                                                                                                                                                 322.0
                                                                                                              PPD/Mech. And                                                                                                                 Dennie
                                                   WT     Labs E, F, G, BEG Connection         DOE,PPD                          EH         MA          Once             3/13/2012                          Y           EH      Complete                          DOE, PPD, Bldg Mgr               PPD
                                                                                                                Tech Center                                                                                                                 Parzyck

                   323.0                                  CDF complex (includes                                                                                                                                                                                                                                                          323.0
                                                                                                                                                                                                                                            Dennie
                                                   WT assembly building, portakamps,           DOE,PPD          PPD/CDF         EH         MA          Once             4/17/2012                          Y           EH      Complete                          DOE, PPD, Bldg Mgr               PPD
                                                                                                                                                                                                                                            Parzyck
                                                           and office building)
                   324.0                                MINOS, MiniBooNE, Main                                                                                                                                                              Dennie                                                                                       324.0
                                                   WT                                          DOE,PPD        PPD/NUTRINO       EH         MA          Once             5/15/2012                          Y           EH                                        DOE, PPD, Bldg Mgr               PPD
                                                               Ring Gazebo                                                                                                                                                                  Parzyck
                   325.0                                 KTeV, HIL, White Barns,                                                                                                                                                            Dennie                                                                                       325.0
                                                   WT                                          DOE,PPD            PPD           EH         MA          Once             6/19/2012                          Y           EH                                        DOE, PPD, Bldg Mgr               PPD
                                                              Training Center                                                                                                                                                               Parzyck
                   326.0                                PB7, PC4, PAB, PPB, T&M                                                                                                                                                             Dennie                                                                                       326.0
                                                   WT                                          DOE,PPD            PPD           EH         MA          Once             7/17/2012                          Y           EH                                        DOE, PPD, Bldg Mgr               PPD
                                                                   Shop                                                                                                                                                                     Parzyck
                   327.0                                                                                        PPD/Tech                                                                                                                    Dennie                                                                                       327.0
                                                   WT             Labs A, B, C, D              DOE,PPD                          EH         MA          Once             8/21/2012                          Y           EH                                        DOE, PPD, Bldg Mgr               PPD
                                                                                                                 Center                                                                                                                     Parzyck

35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                  Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                         Page 30 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                          Date         DOE                                                                                              Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency     Planned Start Date                             Other Req?    Status    POC                   Comments                  Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                           Complete       Req?                                                                                              Owner        Order

                   328.0                                    Village Labs 3, 5 and 6 (w/                                                                                                                                             Dennie                                                                          328.0
                                                   WT                                     DOE,PPD        PPD/MD/TS        EH         MA           Once            9/18/2012                          Y           EH                                   DOE, PPD, Bldg Mgr            PPD
                                                                associated houses)                                                                                                                                                  Parzyck
                   329.0                                                                                                                                                                                                            Dennie                                                                          329.0
                                                   WT      NS4, PS6, NE9, MEA, NEB        DOE,PPD            PPD          EH         MA           Once            10/23/2012                         Y           EH                                   DOE, PPD, Bldg Mgr            PPD
                                                                                                                                                                                                                                    Parzyck
                   330.0                                                                                                                                                                                                            Dennie                                                                          330.0
                                                   WT     Meson Test, MAB, MC7, MC8       DOE,PPD            PPD          EH         MA           Once            11/20/2012                         Y           EH                                   DOE, PPD, Bldg Mgr            PPD
                                                                                                                                                                                                                                    Parzyck
                   331.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            7/12/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                  LAB 7 82,185
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA      Biannual           3/21/2012                                                                                                         PPD
                                                           Lab 5 91,183 34/36/ Neuqua
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            7/25/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                           LAB 8 119,120,121-124,186
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA      Biannual           4/25/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                             Lab 3 FIMS 133-47,181
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            9/27/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                      CDF
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            6/20/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                 D0 EXP HALL
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            6/20/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                 D-0 Office Bldg
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            9/27/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                CDF Office Bldg
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Triannual         5/23/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                          See Meson Det Bldg FIMS400
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA      Biannual           2/15/2012         3/10/2012                            Complete             and Fire Evacuation, October 21012.   PPD
                                                                      PAB
                                                          Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            1/12/2012         1/12/2012                            Complete             and Fire Evacuation, October 21012.   PPD
                                                                       HIL
                   332.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                             332.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA      Biannual           2/15/2012         2/15/2012                            Complete                                                   PPD
                                                                  PRO SERV6
                   333.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    333.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA      Biannual           4/11/2012         4/11/2012                            Complete             and Fire Evacuation, October 21012.   PPD
                                                                 Training Center
                   334.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    334.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual             3/8/2012         3/8/2012                             Complete             and Fire Evacuation, October 21012.   PPD
                                                                    N LAB A
                   335.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    335.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual             3/8/2012         3/8/2012                             Complete             and Fire Evacuation, October 21012.   PPD
                                                                    N LAB B
                   336.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                             336.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual           10/18/2012                                                                                                         PPD
                                                                  Proton T&M
                   337.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    337.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual             3/8/2012         3/8/2012                             Complete             and Fire Evacuation, October 21012.   PPD
                                                                    N LAB C
                   338.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    338.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual             3/8/2012         3/8/2012                             Complete             and Fire Evacuation, October 21012.   PPD
                                                                N LAB C Annex
                   339.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    339.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual             3/8/2012         3/8/2012                             Complete             and Fire Evacuation, October 21012.   PPD
                                                                    N LAB D
                   340.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    340.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            8/16/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                    N LAB E
                   341.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    341.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA       Annual            8/16/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                    N LAB F
                   342.0                                  Highly Protected Risk (HPR) /                                                                                                                                                       Includes Tornado Drill, March 2012                                    342.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA      Biannual           8/16/2012                                                                   and Fire Evacuation, October 21012.   PPD
                                                                    N LAB G
                   343.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                             343.0
                                                    IN            FESHM 6015              ES&H,PPD          PPD           EH        IA,MA      Triannual          9/18/2012                                                                                                         PPD
                                                                   N SERV 4



35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                            Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                          Page 31 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                                                         Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?     Status         POC                   Comments                   Org       Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                                                         Owner        Order

                   344.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       344.0
                                                    IN            FESHM 6015               ES&H,PPD         PPD           EH        IA,MA      Biannual           2/8/2012         2/8/2012                               Complete                                                        PPD
                                                                      PB7
                   345.0                                  Highly Protected Risk (HPR) /                                                                                                                                                            Includes Tornado Drill, March 2012                                         345.0
                                                    IN            FESHM 6015               ES&H,PPD         PPD           EH        IA,MA       Annual           9/18/2012                                                                         and Fire Evacuation, October 21012.    PPD
                                                                      Ktev
                   346.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       346.0
                                                    IN            FESHM 6015               ES&H,PPD         PPD           EH        IA,MA       Annual           9/12/2012                                                                                                                PPD
                                                                   MiniBoone
                   347.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       347.0
                                                    IN            FESHM 6015               ES&H,PPD         PPD           EH        IA,MA       Annual           9/12/2012                                                                                                                PPD
                                                                     Minos
                   348.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       348.0
                                                    IN            FESHM 6015               ES&H,PPD         PPD           EH        IA,MA      Triannual        10/18/2012                                                                                                                PPD
                                                             F49 Big C217BARN 2
                   349.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                                       349.0
                                                    IN            FESHM 6015               ES&H,PPD         PPD           EH        IA,MA      Triannual        10/18/2012                                                                                                                PPD
                                                                  F49 Sm Barn
                   350.0                                  Conference Management (IAD                                                                                                                                                                                                                                          350.0
                                                    A                                        IAD             PPD          FI          IA        Annual                             3/31/2010        Y           IAD       Complete                                                        PPD
                                                                  Annual Plan)                                                                                                                                                                                                                       IAD         IAD
                   351.0                                   KPMG Financial Statement                                                                                                                                                                                                                                           351.0
                                                    A     Audit & Special Process Spares   IAD,KPMG         FI,CD         FI      IA,MA,TP      Annual                                                                                                                                    PPD
                                                                 (SPS) Inventory                                                                                                                                                                                                                     IAD         IAD
                   353.0                            A     QA assessment (Procurement)        OQBP           PPD           QA         IA          Once             1/2/2012                                               Complete      Mike Pakan 12-QA-006                               PPD                   OQBP          353.0
                   354.0                                  QA assessment (Design/Eng. &                                                                                                                                                             12-QA-015                                                                  354.0
                                                    A                                      OQBP, DOE        PPD           QA         IA          Once             7/9/2012                                                            John Martzel                                        PPD
                                                                 Work Processes)                                                                                                                                                                                                                     DOE        OQBP
                   355.0                                     QA assessment (Fermilab                                                                                                                                                               12-QA-002                                                                  355.0
                                                    A                                        OQBP           NOvA          QA         IA          Once            2/20/2012                                                             Tom King                                          Sci/Proj
                                                           Scientific Project QA-EVMS)                                                                                                                                                                                                                          OQBP
                   356.0                                     QA assessment (Fermilab                                                                                                                                                               12-QA-011                                                                  356.0
                                                    A                                        OQBP                         QA         IA          Once            4/23/2012                                                             Tom King                                          Sci/Proj
                                                              Scientific Project QA)                                                                                                                                                                                                                            OQBP
                                                          DOE Progress Review of NOvA                                                                                                                                                             DOE review. NOVA project reports
                                                    A                                        DOE            NOvA          SS          IA         Once             5/8/2012                                                            John Cooper to PP Sector, not PPD.                 Sci/Proj
                                                                    Project

                                                              DOE CD-3b Review of
                                                    A                                        DOE             PPD          SS        IA,MA        Once            2/29/2012                                                                                                                PPD
                                                                 MicroBooNE

                                                            Director's CD-1 Review of
                                                    A                                        DOE             PPD          SS        IA,MA        Once             4/3/2012                          Y                                 G. Rameika                                         Sci/Proj
                                                                       Mu2e
                                                                                                                                                                                                                                                   Mu2e reports to Particle Physics
                                                    A      DOE CD-1 Review of Mu2e           DOE             PPD          SS        IA,MA        Once            6/26/2012                                                             Ron Ray     Sector - not PPD.                     Sci/Proj

                                                           Highly Protected Risk (HPR) /                                                                                                                                                           Mu2e reports to Particle Physics
                                                    IN             FESHM 6015              ES&H,PPD         NOvA          EH        IA,MA        Once                                               Y                                  Ron Ray     Sector - not PPD.                     Sci/Proj
                                                                      NOvA
                   357.0                                  Division Head assessment of                                                                                                                                                              Assessment covers ES&H, QA,                                                357.0
                                                          Machine Shop Department                                                                                                                                                                  Operations, Budget, Foraml has
                                    Cs              A                                       TD,HQ           MSD         EH,QA        MA        1.5 years        12/11/2011         1/10/2012        N                    complete                                                          TD
                                                          (MSD) / TD Policy (2020)                                                                                                                                                                 agendas, schedules, reports, action
                                                                                                                                                                                                                                                   items etc.
                   360.0                                  Division Head -assessment of                                                                                                                                                             Assessment covers ES&H, QA,                                                360.0
                                                          Magnet Systems Department                                                                                                                                                                Operations, Budget, Foraml has
                                    Cs              A                                       TD,HQ           MSD         EH,QA        MA        1.5 years         2/15/2012                          N                   On Schedule                                                        TD
                                                          (MSD) / TD Policy (2020)                                                                                                                                                                 agendas, schedules, reports, action
                                                                                                                                                                                                                                                   items etc.
                   361.0                                  Division Head assessment of                                                                                                                                                              Assessment covers ES&H, QA,                                                361.0
                                                          Test & Instrumentation                                                                                                                                                                   Operations, Budget, Foraml has
                                    Cs              A                                       TD,HQ            TI         EH,QA        MA        1.5 years         5/15/2012                          N                   On Schedule                                                        TD
                                                          Department (T&I) / TD Policy                                                                                                                                                             agendas, schedules, reports, action
                                                          (2020)                                                                                                                                                                                   items etc.
                   362.0                                  Division Head assessment of                                                                                                                                                              Assessment covers ES&H, QA,                                                362.0
                                                          Superconducting Materials                                                                                                                                                                Operations, Budget, Foraml has
                                    Cs              A                                       TD,HQ           SMD         EH,QA        MA        1.5 years         8/15/2012                          N                   On Schedule                                                        TD
                                                          Department (SMD) / TD Policy                                                                                                                                                             agendas, schedules, reports, action
                                                          (2020)                                                                                                                                                                                   items etc.
                                                          Division Head assessment of                                                                                                                                                              Assessment covers ES&H, QA,
                                                          Superconducting Radio                                                                                                                                                                    Operations, Budget, Foraml has
                                    Cs              A                                       TD,HQ           SRFD        EH,QA        MA        1.5 years        11/15/2012                          N                   On Schedule                                                        TD
                                                          Frequency Department (SRFD) /                                                                                                                                                            agendas, schedules, reports, action
                                                          TD Policy (2020)                                                                                                                                                                         items etc.
                                                          Division Head assessment of                                                                                                                                                              Assessment covers ES&H, QA,
                                                          Design & Dradting Department                                                                                                                                                             Operations, Budget, Foraml has
                                    Cs              A                                       TD,HQ            DD         EH,QA        MA        1.5 years         2/15/2013                          N                   On Schedule                                                        TD
                                                          (DD) / TD Policy (2020)                                                                                                                                                                  agendas, schedules, reports, action
                                                                                                                                                                                                                                                   items etc.
                                                          Division Head assessment of                                                                                                                                                              Assessment covers ES&H, QA,
                                                          Quality & Materials and                                                                                                                                                                  Operations, Budget, Foraml has
                                    Cs              A     Machine Shop Departments          TD,HQ        Q&M, MSD       EH,QA        MA        1.5 years         5/15/2013                          N                   On Schedule                agendas, schedules, reports, action     TD
                                                          (Q&M and MSD) / TD Policy                                                                                                                                                                items etc.
                                                          (2020)




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                     Page 32 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org              Assessment                                          Date         DOE                                                                                                 Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                 Systems                Frequency     Planned Start Date                             Other Req?     Status      POC               Comments                   Org    Filters
                                                              Orders, Permits etc)                          D/S/C                   Method                                           Complete       Req?                                                                                                 Owner        Order

                                                          Division Head -assessment of                                                                                                                                                        Assessment covers ES&H, QA,
                                                          Magnet Systems Department                                                                                                                                                           Operations, Budget, Foraml has
                                    Cs              A                                          TD,HQ           MSD       EH,QA        MA         1.5 years         8/15/2013                          N                   On Schedule                                                TD
                                                          (MSD) / TD Policy (2020)                                                                                                                                                            agendas, schedules, reports, action
                                                                                                                                                                                                                                              items etc.
                                                          Division Head assessment of                                                                                                                                                         Assessment covers ES&H, QA,
                                                          Test & Instrumentation                                                                                                                                                              Operations, Budget, Foraml has
                                    Cs              A                                          TD,HQ            TI       EH,QA        MA         1.5 years        11/15/2013                          N                   On Schedule                                                TD
                                                          Department (T&I) / TD Policy                                                                                                                                                        agendas, schedules, reports, action
                                                          (2020)                                                                                                                                                                              items etc.
                                                          Division Head assessment of                                                                                                                                                         Assessment covers ES&H, QA,
                                                          Superconducting Materials                                                                                                                                                           Operations, Budget, Foraml has
                                    Cs              A                                          TD,HQ           SMD       EH,QA        MA         1.5 years         2/15/2014                          N                   On Schedule                                                TD
                                                          Department (SMD) / TD Policy                                                                                                                                                        agendas, schedules, reports, action
                                                          (2020)                                                                                                                                                                              items etc.
                                                          Division Head assessment of                                                                                                                                                         Assessment covers ES&H, QA,                                               358.0
                                                          Superconducting Radio                                                                                                                                                               Operations, Budget, Foraml has
                                    Cs              A                                          TD,HQ           SRFD      EH,QA        MA         1.5 years         5/15/2014                          N                   On Schedule                                                TD
                                                          Frequency Department (SRFD) /                                                                                                                                                       agendas, schedules, reports, action
                                                          TD Policy (2020)                                                                                                                                                                    items etc.
                                                          Division Head assessment of                                                                                                                                                         Assessment covers ES&H, QA,                                               359.0
                                                          Design & Dradting Department                                                                                                                                                        Operations, Budget, Foraml has
                                    Cs              A                                          TD,HQ            DD       EH,QA        MA         1.5 years         8/15/2014                          N                   On Schedule                                                TD
                                                          (DD) / TD Policy (2020)                                                                                                                                                             agendas, schedules, reports, action
                                                                                                                                                                                                                                              items etc.
                                                          Division Head assessment of                                                                                                                                                         Assessment covers ES&H, QA,                                               360.0
                                                          Quality & Materials and                                                                                                                                                             Operations, Budget, Foraml has
                                    Cs              A     Machine Shop Departments             TD,HQ         Q&M, MSD    EH,QA        MA         1.5 years        11/15/2014                          N                   On Schedule         agendas, schedules, reports, action    TD
                                                          (Q&M and MSD) / TD Policy                                                                                                                                                           items etc.
                                                          (2020)
                   363.0                                                                                                                                                                                                                      Topic: Procurement Compliance                                             363.0
                                                                                                                                                                                                                                              with the Quality Assurance and
                                                                                                                                                                                                                                              Sustainable Acquisition portions of
                                                                                                                                                                                                                                              internal policy TD-4100,
                                                              TripartiteAssessment /                                                                                                                                                          Procurement Review
                                                          Procurement Compliance with                                                                                                                                                         Goal: To determine the compliance
                                                            the Quality Assurance and                                                                                                                                                         status with its revised internal
                                                    A                                       TD,ES&H,DOE         TD       EH,QA     IA,MA,TP      Annual             7/2/2012         9/28/2012        Y                                                                              TD
                                                             Sustainable Acquisition                                                                                                                                                          policy, TD-4100 Procurement
                                                          portions of internal policy TD-                                                                                                                                                     Requirements for ES&H, NEPA
                                                                        4100                                                                                                                                                                  and QA as it pertains for purchases
                                                                                                                                                                                                                                              for sustainable acquisition and the
                                                                                                                                                                                                                                              purchase of fasteners, lifting
                                                                                                                                                                                                                                              hardware, and electrical circuit
                                                                                                                                                                                                                                              breakers.                                    Tripartite     ES&H
                   364.0                                                                                                                                                                                                                      Inserted by JH from Bob's list sent                                       364.0
                                                                                                                                                                                                                                              out on for the 2nd Q each year to
                                                                                                                                                                                                                                              Div Head. It seems like this may
                                                               DOE Agreement self-
                                                                                                                                                                                                                                              be already consolidated in part with
                                                          assessment Report (DOE/OQBP
                                                                                                                                                                                                                                              the Div Head's self-assessments
                                                               lists). Programmatic
                                                    A                                          TD,HQ            TD         QA         MA         Annual             1/1/2012                          Y         OQBP                          since they make a lot of the           TD
                                                            Operations & Maintenance -
                                                                                                                                                                                                                                              necessary information available.
                                                          Magnet Design, Construction &
                                                                                                                                                                                                                                              More could be said than just X Div
                                                                       Testing
                                                                                                                                                                                                                                              Heads audits were conducted over
                                                                                                                                                                                                                                              the past year. JH to discuss with JB
                                                                                                                                                                                                                                              & JR & KM                                                   OQBP
                   365.0                                      OSHA-style inspection                                                                                                                                                           Internally developed and conducted                                        365.0
                                                    IN    (quarterly); every TD building      TD,ES&H           TD         EH         MA        Quarterly           1/1/2012                          N                   On Schedule         on the entire Div for compliance       TD
                                                            is looked at every quarter                                                                                                                                                        with OSHA
                   366.0                                      ES&H walk-throughs -                                                                                                                                                            Observations, discussion - informal                                       366.0
                                                    IN       occupied industrial areas        TD,ES&H           TD         EH         MA        Quarterly           1/1/2012                          N                   On Schedule         inspection of slings etc. DuPont       TD
                                                                    (quarterly)                                                                                                                                                               Style
                   367.0                                   ES&H walk-throughs - office                                                                                                                                                        DuPont style                                                              367.0
                                                    IN                                        TD,ES&H           TD         EH         MA        Semiannual          1/1/2012                          N                   On Schedule                                                TD
                                                              areas (semi-annually)
                   368.0                                  ES&H walk-throughs - storage                                                                                                                                                        DuPont style - least frequent                                             368.0
                                                    IN                                        TD,ES&H           TD         EH         MA         Annual             1/1/2012                          N                   On Schedule                                                TD
                                                                 areas (annually)
                   371.0                                                                                                                                                                                                                      Simultaneus but separate audit                                            371.0
                                                            ISO 14001 Environmental
                                                    A                                        NSF registrar    Fermilab   EH,QA       MA,TP      Semiannual                                            N           ISO     On Schedule         teams 2010 is Trienniel                TD
                                                            Mgmt Systems assessment
                                                                                                                                                                                                                                              Recertification                              ISO 14001    ISO 14002
                   372.0                                                                                                                                                                                                                      Simultaneus but separate audit                                            372.0
                                                           OHSAS 18001 Occupational
                                                    A                                        NSF registrar    Fermilab   EH,QA       MA,TP      Semiannual                                            N         OHSAS     On Schedule         teams 2010 is Trienniel                TD
                                                            Health Safety assessment
                                                                                                                                                                                                                                              Recertification                               OHSAS        OHSAS




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                             Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                             Page 33 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                         Date         DOE                                                                                            Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency    Planned Start Date                             Other Req?    Status    POC                Comments                   Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                          Complete       Req?                                                                                            Owner        Order

                   373.0                                                                                                                                                                                                                 3 Yr. Cycle - Criticality to mission,                                   373.0
                                                                                                                                                                                                                                         how secure is the building ex: IB1
                                                                                                                                                                                                                                         or 1a annual, IB2 2yrs, eventually
                                                                                                                                                                                                                                         3yrs
                                                                                                                                                                                                                                         GLOBAL - Have each QAR list
                                                                                                                                                                                                                                         vunerability assessments with
                                                               Vulnerability Study          Security         TD           SS         IA         Annual                                              Y                                    examples of buildings assessed in       TD
                                                                                                                                                                                                                                         the comments column.
                                                                                                                                                                                                                                         JH to check w BSS for all
                                                                                                                                                                                                                                         vunerability assessments. Are the
                                                                                                                                                                                                                                         Safeguards & Security
                                                                                                                                                                                                                                         walkthroughs really the same as
                                                                                                                                                                                                                                         this?
                   374.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          374.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA        Bi-annual                                                                                                                         TD
                                                            Lab 536/ 36A/38 Neuqua
                   375.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          375.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA        Triannual                                                                                                                         TD
                                                                    WINN30
                   376.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          376.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA         Annual                                                                                                                           TD
                                                                   MP9 (418)
                   377.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          377.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA         Annual                                                                                                                           TD
                                                                       TPL
                   378.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          378.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA        Bi-annual                                                                                                                         TD
                                                                       IB1
                   379.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          379.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA        Bi-annual                                                                                                                         TD
                                                                       IB2
                   380.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          380.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA        Bi-annual                                                                                                                         TD
                                                                      IB 2B
                   381.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          381.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA         Annual                                                                                                                           TD
                                                                       IB3
                   382.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          382.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA         Annual                                                                                                                           TD
                                                                      IB-3A
                   383.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          383.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA         Annual                                                                                                                           TD
                                                                       IB4
                   384.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          384.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA         Annual                                                                                                                           TD
                                                                  IND COMPR
                   385.0                                  Highly Protected Risk (HPR) /                                                                                                                                                                                                                          385.0
                                                    IN            FESHM 6015               ES&H,TD           TD           EH         IA        Bi-annual                                                                                                                         TD
                                                                MAGNET STOR
                                                                                                         BSS, FI, FRA                                                                                                                    FNAL2010-04
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                                    A      Allowable Cost Audit (IAD         IAD          PPD, CD,        FI         IA         Annual                             9/27/2010        Y                   Complete                                                 PPD
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                                     IAD
                                                                                                         BSS, FI, FRA                                                                                                                    FNAL2011-02
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                                    A      Allowable Cost Audit (IAD         IAD          PPD, CD,        FI         IA         Annual                             4/22/2011        Y                   Complete                                                 PPD
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                         IAD         IAD
                                                                                                         BSS, FI, FRA
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                                    A      Allowable Cost Audit (IAD         IAD          PPD, CD,        FI         IA         Annual            2/1/2012                          Y                                                                            PPD
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                         IAD         IAD
                   396.0                                                                                                                                                                                                                 KPMG for Cindy Conger CFO.                                              396.0
                                                                                                                                                                                                                                         Alicia Filak - Internal audit
                                                                                                                                                                                                                                         department (IAD) is tasked with
                                                           KPMG Financial Statement
                                                                                                                                                                                                                                         assessing special process spares
                                                    A     Audit & Special Process Spares   IAD,KPMG          TD           FI      IA,MA,TP      Annual                             9/30/2010        Y          Fermi    Complete                                                 TD
                                                                                                                                                                                                                                         inventory annually per Alicia.
                                                                 (SPS) Inventory
                                                                                                                                                                                                                                         Different organizations selected
                                                                                                                                                                                                                                         annually but TD & AD always for
                                                                                                                                                                                                                                         SPS.                                           IAD         IAD




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                           Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                        Page 34 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                Assessment                                           Date         DOE                                                                                                        Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                   Systems                Frequency      Planned Start Date                             Other Req?     Status         POC                   Comments                  Org     Filters
                                                              Orders, Permits etc)                          D/S/C                     Method                                            Complete       Req?                                                                                                        Owner        Order

                   397.0                                                                                                                                                                                                                                 FNAL2010-04                                                              397.0
                                                                                                            BSS, FI, FRA
                                                          Contract Clause I.118 - Annual                     Corp, TD,
                                                    A      Allowable Cost Audit (IAD            IAD          PPD, CD,        FI         IA          Annual                              9/27/2010        Y                    Complete                                                         TD
                                                                   Annual Plan)                              FESS, AD,
                                                                                                              WDRS
                                                                                                                                                                                                                                                                                                       IAD           IAD
                   398.0                                                                                                                                                                                           SARA                                  Threshold Qty re: Emergency                                              398.0
                                                            Chemical Inventory / SARA
                                                                                                                                                                                                                  TITLE II                               Management Plan -.
                                                    a      TITLE II OSHA Reports / TD         TD,ES&H           TD           EH         MA          Annual             5/1/2010                          Y                   On Schedule                                                       TD
                                                                                                                                                                                                                   OSHA                                  Review & Report, then ES&H
                                                                policy / FESHM
                                                                                                                                                                                                                  Reports                                summarizes lab-wide
                   417.0                            A     QA assessment (Procurement)          OQBP             TD           QA         IA           Once             11/7/2011                                                                          12-QA-004                             TD                   OQBP          417.0
                   418.0                                  QA assessment (Design/Eng. &                                                                                                                                                                   12-QA-017                                                                418.0
                                                    A                                          OQBP             TD           QA         IA           Once              8/6/2012                                                                                                                TD
                                                                Work Processes)                                                                                                                                                                                                                                     OQBP
                                                                                                                                                                                                                                                         Goals: Assess handling and storage
                                                              Tripartite Assessment /
                                                                                                                                                                                                                                                         of chemicals associated with small
                                                             Chemical Storage/Use at         WDRS,ES&H,
                                                    A                                                           TD         EH,QA     IA,MA,TP       Annual             4/2/2012         6/29/2012        Y                                               science experiments performed in     WDRS
                                                           Lederman Science Center by          DOE
                                                                                                                                                                                                                                                         the LSEC laboratory by dosents and
                                                               teachers and docents
                                                                                                                                                                                                                                                         teachers.                                   Tripartite     ES&H
                   420.0                                      DOE Agreement Self-                                                                                                                                                                                                                                                 420.0
                                                               Assessment Report                                                                                                                                                                         Workforce Development &
                                                    A                                          WDRS           WDRS           QA         MA          Annual             7/1/2012                          Y         OQBP                    B. Brooks                                          WDRS
                                                             (DOE/OQBP lists). /                                                                                                                                                                         Training
                                                            Professional Development                                                                                                                                                                                                                                OQBP
                   421.0                                                                                                                                                                                                                                                                                                          421.0
                                                             DOE Agreement Self-
                                                    A          Assessment Report               WDRS           WDRS           QA         MA          Annual             7/1/2012                          Y         OQBP                    T. Turner                                          WDRS
                                                          (DOE/OQBP lists). / Benefits
                                                                                                                                                                                                                                                                                                                    OQBP
                   422.0                                      DOE Agreement Self-                                                                                                                                                                                                                                                 422.0
                                                               Assessment Report
                                                    A        (DOE/OQBP lists). /               WDRS           WDRS           QA         MA          Annual             7/1/2012                          Y         OQBP                     J. Frazier                                        WDRS
                                                             Employment/Employee
                                                                    Relations                                                                                                                                                                                                                                       OQBP
                   423.0                                      DOE Agreement Self-                                                                                                                                                                                                                                                 423.0
                                                               Assessment Report
                                                    A                                          WDRS           WDRS           QA         MA          Annual             7/1/2012                          Y         OQBP                    B. Jurkiw                                          WDRS
                                                             (DOE/OQBP lists). /
                                                                 Compensation                                                                                                                                                                                                                                       OQBP
                   424.0                                      DOE Agreement Self-                                                                                                                                                                                                                                                 424.0
                                                               Assessment Report
                                                    A      (DOE/OQBP lists). / Equal           WDRS           WDRS           BO         MA          Annual             7/1/2012                          Y         OQBP                    D. Engram                                          WDRS
                                                             Opportunity / Diversity /
                                                                   Counseling                                                                                                                                                                                                                                       OQBP
                   425.0                                      DOE Agreement Self-                                                                                                                                                                                                                                                 425.0
                                                               Assessment Report
                                                    A     (DOE/OQBP lists). / Human            WDRS           WDRS           BO         MA          Annual             7/1/2012                          Y         OQBP                    B. Jurkiw                                          WDRS
                                                          Resource Information Systems
                                                                (HRIS) / Records                                                                                                                                                                                                                                    OQBP
                   426.0                                                                                                                                                                                                                             Statistical summary of average                                               426.0
                                                             Summary Evaluation of                                                                                                                                                                   responses to questions about the
                                                   MO       Professional Development           WDRS           WDRS           BO         MA          Annual            10/1/2011                          N                                 B. Brooks courses taken. Track issues and          WDRS
                                                             Courses by Participants                                                                                                                                                                 instructor effectiveness.
                                                                                                                                                                                                                                                     Corrections made if necessary.
                   427.0                                   FRA Visiting Committee for                                                                                                                                                          K.    Inserted as placeholder.                                                     427.0
                                                    A                                           FRA           WDRS         BO,QA       IA,MA        Annual               TBD                             N                                                                                    WDRS
                                                           Adminstration & Operations                                                                                                                                                      VanVreede                                                   FRA          OQBP
                   428.0                                   Annual review of QuarkNet                                                                                                                                                                                                                                              428.0
                                                                                                                                                                  Spring 2012, Date
                                                    A       with DOE and NSF (Peer           DOE & NSF        WDRS           SS         TP          Annual                                               Y                                 M. Bardeen                                         WDRS
                                                                                                                                                                        TBD
                                                            Reviews of NSF Proposal)
                   429.0                                                                                                                                                                                                                                 Required by contract. Compares                                           429.0
                                                    A       Annual Benefits Cost Study          DOE           WDRS           BO       MA, TP        Annual             6/1/2012                          Y                                 T. Turner     retirement plan costs against DOE    WDRS
                                                                                                                                                                                                                                                         measures
                   431.0                                   Federal Accounting Standards      Prudential &                                                                                                                                                                                                                         431.0
                                                    A                                                         WDRS           BO      MA,TP, IA      Annual             2/1/2012                          N          FASB                   T. Turner                                          WDRS
                                                              FAS 106 Liability Audit           KPMG
                   432.0                                    Safety Walk through - 15th                                                                                                                                                               KayV / Bruce C / SSO                                                         432.0
                                                                                                                                                                                                                                              M.
                                   C248             IN    Floor and International Services     WDRS           WDRS           EH         MA        Semi-annual    2/1/2012 & 8/1/2012                     N         ES&H                              1st floor combined annually              WDRS
                                                                                                                                                                                                                                           Bonkalski
                                                                     (1st floor)
                   433.0                                       Safety Walk through -                                                                                                                                                                                                                                              433.0
                                                                                                                                                                                                                                              M.
                                                    IN     Lederman Sceince Center and         WDRS           WDRS           EH         MA          Annual             4/1/2012                          N         ES&H                                                                       WDRS
                                                                                                                                                                                                                                           Bonkalski
                                                                 Surrounding areas
                   434.0                                       Safety Walk through -                                                                                 5/12/2012 &                                                              M.                                                                                  434.0
                                                    IN                                         WDRS           WDRS           EH         MA        Semiannual                                             N         ES&H                                                                       WDRS
                                                                 Children’s Center                                                                                    11/12/2012                                                           Bonkalski
                   435.0                                    Safety Walk through - Pool,                                                                                                                                                                                                                                           435.0
                                                           Kuhn Barn (downstairs), Day                                                                                                                                                        M.
                                                    IN                                         WDRS           WDRS           EH         MA          Annual             7/1/2012                          N         ES&H                                                                       WDRS
                                                            Camp, Anderson Barn, and                                                                                                                                                       Bonkalski
                                                                   Sports Fields
                   437.0                                   Highly Protected Risk (HPR) /                                                                                                                                                                 Same as FESS No. 249.                                                    437.0
                                    249             IN             FESHM 6015                ES&H, FESS        FESS          EH         MA         Biannual                                                                                              REC FAC 163-164                      WDRS
                                                                REC FAC 163-164
35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                    Page 35 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org                   Assessment                                             Date         DOE                                                                                                           Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                      Systems                 Frequency       Planned Start Date                             Other Req?    Status       POC                    Comments                     Org       Filters
                                                              Orders, Permits etc)                          D/S/C                        Method                                              Complete       Req?                                                                                                           Owner        Order

                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                 ES&H, FESS           FESS          EH         MA          Annual                                                                                                                                     WDRS
                                                                 Science Center
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                 ES&H, FESS           FESS          EH         MA         Triannual                                                                                                                                   WDRS
                                                              ANDERSON BARN
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                 ES&H, FESS           FESS          EH         MA        Every 5 years                                                                                                                                WDRS
                                                             F56 BARN2 SH2 (984)
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                 ES&H, FESS           FESS          EH         MA        Every 5 years                                                                                                                                WDRS
                                                                  F56 SHED 1
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                 ES&H, FESS           FESS          EH         MA        Every 5 years                                                                                                                                WDRS
                                                                  F56 BARN1
                                                          Highly Protected Risk (HPR) /
                                                    IN            FESHM 6015                 ES&H, FESS           FESS          EH         MA        Every 5 years                                                                                                                                WDRS
                                                                    SHED 2
                   440.0                            A         Benefits Value Study           Aon Hewitt          WDRS           BO        IA,MA       Bi-annual             1/1/2013                          Y                              Tara Turner                                          WDRS                                    440.0
                   441.0                                                                                                                                                                                                                       K. Van    No longer a PEMP requirement but                                                 441.0
                                                    A          Balanced Scorecard              WDRS              WDRS           QA         MA          Annual              10/1/2011                          N                                                                                   WDRS
                                                                                                                                                                                                                                               Vreede    continued for value
                   442.0                                  Safety Walk through - Training                                                                                                                                                         M.                                                                                       442.0
                                                    IN                                         WDRS              WDRS           EH         MA          Annual               9/9/2010                          N         ES&H                                                                      WDRS
                                                           Center/Recreational Facility                                                                                                                                                       Bonkalski
                   443.0                                                                                                                                                                                                                                 Retrospective quantitative report (X                                             443.0
                                                    A           Annual HR Report               WDRS              WDRS           QA         MA          Annual              10/1/2012                          N                               B. Brooks # interviews, Y # EEO claims etc)         WDRS

                                                    A QA assessment (Procurement)               OQBP             WDRS           QA         IA           Once               2/20/2012                                                           OQBP     12-QA-009                                 WDRS
                                                       ES&H Tornado/Fire drill at                                                                                                                                                                       Either a fire drill or a tornado drill
                                                                                                                                                                        First Tuesday of
                                                   DR  Fermilab's Children's Center            WDRS              WDRS           BO         MA          Monthly                                               N          ES&H                 P. Hedrick is performed. They switch off             WDRS
                                                                                                                                                                          each month
                                                                 (Daycare)                                                                                                                                                                              between the two drills each month.
                                                         Review and updating of
                                                        Professional Development
                                                   A                                           WDRS              WDRS           BO         MA           Once               10/1/2011                         N                                B. Brooks                                           WDRS
                                                         policies and documented
                                                                procedures
                                                        Procedural review of New
                                                   A Employee Orientation Program           Internal Audit       WDRS           BO         MA           Once               10/1/2011                         N                                J. Frazier                                          WDRS
                                                             by Internal Audit
                                                                                                                                                                                                                                                        This will include Student
                                                            Peer Review of Workforce                                                                                                                                                                    Undergraduate Laboratory
                                                    A       Development Teachers and       Office of Science     WDRS           QA          IA          Annual              Fall 2012                         N                              M. Bardeen Internships (SULI), Community             WDRS
                                                               Scientists (WDTS)                                                                                                                                                                        College Internships (CCI), and
                                                                                                                                                                                                                                                        Visiting Faculty Programs (VFP)
                   447.0                                  QA assessment (Design/Eng. &                                                                                                                                                                  12-QA-016                                                                         447.0
                                                    A                                           OQBP             WDRS           QA         IA           Once               7/16/2012                                                                                                              WDRS
                                                                Work Processes)                                                                                                                                                                                                                                             OQBP
                   448.0                                     QA assessment (V&V -                                                                                                                                                                          12-QA-007                                                                      448.0
                                                    A      surveillance of Completed            OQBP             Fermilab       QA         IA                               1/2/2012         1/23/2012                            Complete                                                        Fermilab
                                                                     CAPs)                                                                                                                                                                                                                                                  OQBP
                   449.0                                     QA assessment (V&V -                                                                                                                                                                          12-QA-019                                                                      449.0
                                                    A      surveillance of Completed            OQBP             Fermilab       QA         IA                              8/13/2012                                                                                                              Fermilab
                                                                     CAPs)                                                                                                                                                                                                                                                  OQBP
                                                                                                                                                                                                                                                           Goal: The goal of the annual FSO
                                                                                                                                                                                                                                                           FEOSH Workplace Inspection is to
                                                                                                                                                                                                                                                           review the status of FSO work areas
                                                                                                                                                                                                                                                           in light of the 1970 Occupational
                                                                                                                                                                                                                                                           Safety and Health Act, Executive
                                                                                                                                                                                                                                                           Order 12196, and 29 CFR Part
                                                           Tripartite Assessment / FSO
                                                                                           DOE-FSO,ES&H,                                                                                                                                                   1960. The inspection is also
                                                    A           FEOSH Standards                                 DOE-FSO         EH      IA,MA,TP       Annual               6/1/2012         7/2/2012         Y                                                                                    DOE
                                                                                                DOE                                                                                                                                                        performed to maintain a heightened
                                                                 Implementation
                                                                                                                                                                                                                                                           awareness of workplace safety
                                                                                                                                                                                                                                                           issues among FSO management and
                                                                                                                                                                                                                                                           staff and continue a leadership role
                                                                                                                                                                                                                                                           for the office in the area of
                                                                                                                                                                                                                                                           workplace safety.
                                                                                                                                                                                                                                                                                                             Tripartite     ES&H
                                                                                                               BSS, FI, FRA                                                                                                                                FNAL2011-02
                                                          Contract Clause I.118 - Annual                        Corp, TD,
                                                    A      Allowable Cost Audit (IAD             IAD            PPD, CD,        FI         IA          Annual                                4/22/2011        Y                   Complete                                                          TD
                                                                   Annual Plan)                                 FESS, AD,
                                                                                                                 WDRS                                                                                                                                                                                          IAD           IAD
                                                                                                               BSS, FI, FRA
                                                          Contract Clause I.118 - Annual                        Corp, TD,
                                                    A      Allowable Cost Audit (IAD             IAD            PPD, CD,        FI         IA          Annual               2/1/2012                          Y                                                                                     TD
                                                                   Annual Plan)                                 FESS, AD,
                                                                                                                 WDRS                                                                                                                                                                                          IAD           IAD




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                                     Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                                       Page 36 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org               Assessment                                         Date         DOE                                                                                                   Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                 Systems                 Frequency    Planned Start Date                             Other Req?    Status    POC                 Comments                     Org       Filters
                                                              Orders, Permits etc)                          D/S/C                    Method                                          Complete       Req?                                                                                                   Owner        Order

                                                                                                         BSS, FI, FRA                                                                                                                      FNAL2011-01
                                                              Technical Division's
                                                                                                          Corp, TD,
                                                    A       Acquisition and Control of       IAD                            FI         IA        As Needed                          12/20/2010        N          IAD      Complete                                                    TD
                                                                                                          PPD, CD,
                                                           Materials (IAD Annual Plan)
                                                                                                          FESS, AD                                                                                                                                                                               IAD         IAD
                                                               Service Center Labor
                                                    A                                        IAD         FI, FESS, TD      BO          IA        As Needed         9/14/2011                          N          IAD                                                                  TD
                                                          Chargebacks (IAD Annual Plan)
                                                                                                                                                                                                                                                                                                 IAD         IAD
                                                             Health Care Benefits                                                                                                                                                          FNAL2011-04
                                                    A      Administration (IAD Annual        IAD           WDRS          FI, WDRS      IA        As Needed                           9/21/2011        N          IAD      Complete                                                  WDRS
                                                                      Plan)                                                                                                                                                                                                                      IAD         IAD
                                                           New Hire Orientation (IAD
                                                    A                                        IAD           WDRS           WDRS         IA        As Needed          9/1/2011                          N          IAD                                                                WDRS
                                                                 Annual Plan)                                                                                                                                                                                                                    IAD         IAD
                                                                                                         BSS, FI, FRA                                                                                                                      FNAL2010-04
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                                    A      Allowable Cost Audit (IAD         IAD          PPD, CD,          FI         IA         Annual                             9/27/2010        Y                   Complete                                                  WDRS
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                                  IAD         IAD
                                                                                                         BSS, FI, FRA                                                                                                                      FNAL2011-02
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                                    A      Allowable Cost Audit (IAD         IAD          PPD, CD,          FI         IA         Annual                             4/22/2011        Y                   Complete                                                  WDRS
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                                  IAD         IAD
                                                                                                         BSS, FI, FRA
                                                          Contract Clause I.118 - Annual                  Corp, TD,
                                                    A      Allowable Cost Audit (IAD         IAD          PPD, CD,          FI         IA         Annual            2/1/2012                          Y                                                                             WDRS
                                                                   Annual Plan)                           FESS, AD,
                                                                                                           WDRS                                                                                                                                                                                  IAD         IAD
                                                          Office of Communication (IAD                    Office of                                                                                                                        FNAL2011-06                              Office of
                                                    A                                        IAD                            FI         IA        As Needed                           9/29/2011                   IAD      Complete
                                                                   Annual Plan)                           Comm.                                                                                                                                                                      Comm        IAD         IAD
                                                           Visual Media Services (IAD                     Office of                                                                                                                                                                 Office of
                                                    A                                        IAD                            FI         IA        As Needed          7/1/2012                                     IAD
                                                                   Annual Plan)                           Comm.                                                                                                                                                                      Comm        IAD         IAD
                   450.0                                   Aviation Safety (Approval of                                                                                                                                                                                                                                   450.0
                                                    A                                      DOE-FSO                                                 Once            10/1/2011
                                                          Commercial Aviation Services)                                                                                                                                                                                                          DOE
                   451.0                                                                                                                                                                                                                                                                                                  451.0
                                                          10 CFR 850, Chronic Beryllium
                                                    A                                      DOE-FSO          ES&H           EH                      Once            10/1/2011
                                                            Disease Prevention Program
                                                                                                                                                                                                                                                                                                 DOE
                   452.0                                   Fermilab Internal Audit Plan                                                                                                                                                                                                                                   452.0
                                                    A                                      DOE-FSO           IAD            FI         IA          Once            10/1/2011
                                                                      Review                                                                                                                                                                                                                     DOE
                   453.0                                    Greenhouse Gas Emissions                                                                                                                                                                                                                                      453.0
                                                    A                                      DOE-FSO          ES&H           EH                      Once            10/1/2011
                                                                     Program                                                                                                                                                                                                                     DOE
                   455.0                                  Integrated Safety Management                                                                                                                                                                                                                                    455.0
                                                    A                                      DOE-FSO          ES&H           EH                      Once             4/1/2012
                                                                    assessment                                                                                                                                                                                                                   DOE
                   456.0                                                                                                                                                                                                                     Annual Tripartite Hoisting and                                               456.0
                                   194 ?            A        Hoisting/Rigging Review       DOE-FSO          ES&H           EH                     Annual            7/1/2012                                                                                                                    DOE
                                                                                                                                                                                                                                           Rigging w/ ES&H,AD,DOE, # 194
                   458.0                                                                                    AD                                                      7/9/2012                                                                   Scope: OQBP or Fermilab                                                    458.0
                                 68 & 354           A       Quality Assurance Review       DOE-FSO                         QA          IA          Twice                                                                                                                              QA
                                                                                                            PPD                                                     9/3/2012                                                                         Assessment?                                 DOE
                   459.0                                                                                                                                                                                                                   DOE Agreement Self-Assessment                                                  459.0
                                                           Compensation Increase Plan
                                   423 ?            A                                      DOE-FSO         WDRS             FI                     Once             7/1/2012                                                               Report (DOE/OQBP lists) on               WDRS
                                                                   Review
                                                                                                                                                                                                                                           Compensation See # 423                                DOE
                                                              SSR1 Coupler Review            TD                                                                      2/2/12                                                                                                           TD
                                                                                                        Project: MICE
                                                            MICE Coupling Coil Test
                                                                                             TD         Coupling Coil                  MA          once             2/22/12                                                                                                           TD
                                                            Facility - Informal Review
                                                                                                         Test Facility
                                                                   HWR Review                ANL                                                                     3/6/12                                                                                                           TD
                                                                   PXIE Review              FNAL                                                                    3/12/12                                                                                                           TD
                                                                SSR1 Lens Review             TD                                                                end of March 2012                                                                                                      TD
                                                            SSR1 He Vessel and Tuner
                                                                                             TD                                                                    April 2012                                                                                                         TD
                                                                      Review
                                                                SSR1 CM Review               TD                                                                    June 2012                                                                                                          TD
                                                            HEP - General Accelerator
                                                                                                                                                                                                                                                                                      TD
                                                               Development Review
                                                             Americas Linear Collider
                                                                                                                                                                                                                                                                                      TD
                                                                  Planning Group
                                                             HEP - ILC-ART and SRF
                                                                                                                                                                                                                                                                                      TD
                                                                      Review
                                                           Accelerator Sector Strategic
                                                                                                                                                                                                                                                                                      TD
                                                                  Plan (Internal)
                                                               Accelerator Advisory
                                                                                                                                                                                                                                                                                      TD
                                                                Committee Review
                                                             Particle Accelerators for                                                                                                                                                     Not a review, but more of a technology
                                                                                                                                                                                                                                           sharing overview with the U.K.             TD
                                                              Science and Innovation
                                                           11 T Dipole Project Progress                                                                       June-July 2012 date
                                                                                             TD                                                   one time                                                                                                                            TD
                                                                      Review                                                                                         TBD



35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                             Co=Consolidated Organizations Cs= Consolidated Systems                                                                                                               Page 37 of 39
                                                          Subject / Drivers (Laws, Regs,                 Assessed Org             Assessment                                             Date         DOE                                                             Other List   Original
                   No.         Consolidation       Code                                  Performing Org.                Systems                Frequency        Planned Start Date                             Other Req?   Status   POC   Comments   Org   Filters
                                                              Orders, Permits etc)                          D/S/C                  Method                                              Complete       Req?                                                             Owner        Order

                                                                                                                                                                  Sometime in late
                                                           CLAS12 Production Review          JLAB                                                one time         April/early May                                                                     TD
                                                                                                                                                                  2012 date TBD
                                                                                                                                                                  Sometime in late
                                                             CLAS12 Design Review            JLAB                                                one time         April/early May                                                                     TD
                                                                                                                                                                  2012 date TBD
                                                          LARP Program Annual Review          DOE                                                 annual             7/9/2012                                                                         TD
                                                            Mu2e CD1 Lehman Review            DOE                                                one time            6/5/2012                                                                         TD
                                                              LBNE Directors Review        Directorate                                           one time           3/26/2012                                                                         TD
                                                              Mu2e Director's Review       Directorate                                           one time            4/3/2012                                                                         TD
                                                          Seed Program Review (Internal)
                                                            - Fermi / Univ of Chicago /                                                        semi-annually                                                                                          TD
                                                                       ANL




35fc0b91-8317-435e-957b-8a5e8df2e7e9.xlsx FY2012                                                                                                               Co=Consolidated Organizations Cs= Consolidated Systems                                                                         Page 38 of 39
CODES USED IN CONSOLIDATED ASSESSMENT SCHEDULES

See FAM - Chapter 2 Assessment Consolidation Procedure

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


 2. Other types of codes that may be used:
   A for formal Assessment or Audit
   DR for Drill
   IN for Inspection
   MO for Monitoring
   MT for Maintenance
   OT for Other not previously identified
   RP for Report
   TS for Test
   WC for Work process Control
   WT for Walk Through

 3. System – One of the 11 Fermilab management systems:
   M1. CG for Corporate Governance
   M2. SH for StakeHolder
   M3. PP for Performance Planning
   M4. SS for Science
   M5. FI for Finance
   M6. BO for Business Operations
   M7. EH for Environment, Safety & Health (ES&H)
   M8. QA for Quality
   M9. EG for Engineering
   M10. IT for Information Technology
   M11. CM for Communication

				
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