+------------------+---------------------------------------------------+
| # ![](me         | # [Management System]{.smallcaps}                 |
| dia/image1.png){ |                                                   |
| width="1.86875in | # [Assessment Report]{.smallcaps}                 |
| " height="0.9506 |                                                   |
| 944444444444in"} |                                                   |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| # [Visit Date(   | # [June 19-23, 2006]{.smallcaps}                  |
| s):]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| # [Compa         | # [Brookhaven National Laboratory]{.smallcaps}    |
| ny:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| # [Street Addre  | # [Bldg. 800, P.O. Box 5000 (EMS); 4              |
| ss:]{.smallcaps} | 0 Brookhaven Ave., Bldg. 130 (OSHMS)]{.smallcaps} |
+------------------+---------------------------------------------------+
| # [City. State Z | # [Upton, NY 11973]{.smallcaps}                   |
| ip:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| # [Coun          | # [USA]{.smallcaps}                               |
| try]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| # [FRS Numb      | # [69525, 69527, 69528]{.smallcaps}               |
| er:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| # [Visit Ty      | # [Surveillance]{.smallcaps}                      |
| pe:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| # [Standa        | # [ISO 14001:2004, OHSAS 18001:1999]{.smallcaps}  |
| rd:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| # [Lead Audit    | # [Ken Clayman IAF: 35]{.smallcaps}               |
| or:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #  [Audit        | # [Briana Sprague IAF: 35]{.smallcaps}            |
| or:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #  [Audi         | # [      IAF:      ]{.smallcaps}                  |
| tor]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+
| #                | #                                                 |
+------------------+---------------------------------------------------+
| # [Report Da     | # [June 23, 2006]{.smallcaps}                     |
| te:]{.smallcaps} |                                                   |
+------------------+---------------------------------------------------+

For QMS or EMS single sites and QMS corporate schemes - each site will
have a separate report.

QMS and EMS Campus type audits may include all sites in one report.

# Form Version 3.2 

# INTRODUCTION

+----------------------+--------------+-------+-----------------------+
| **Name of Company    |              | # D   |                       |
| and Location**       |              | ate o |                       |
|                      |              | f Aud |                       |
| Brookhaven National  |              | it: J |                       |
| Lab, Upton, NY       |              | une 1 |                       |
|                      |              | 9-23, |                       |
|                      |              |  2006 |                       |
+----------------------+--------------+-------+-----------------------+
|                      |              | # Du  |                       |
|                      |              | ratio |                       |
|                      |              | n (da |                       |
|                      |              | ys; m |                       |
|                      |              | ust m |                       |
|                      |              | atch  |                       |
|                      |              | quote |                       |
|                      |              | ): 10 |                       |
+----------------------+--------------+-------+-----------------------+
| # Type o             |              | **FRS |                       |
| f Audit and Standard |              | No    |                       |
|                      |              | .(s): |                       |
| Surveillance of ISO  |              | E     |                       |
| 14001:2004, OHSAS    |              | rror: |                       |
| 18001:1999           |              | Refe  |                       |
|                      |              | rence |                       |
|                      |              | s     |                       |
|                      |              | ource |                       |
|                      |              | not   |                       |
|                      |              | fo    |                       |
|                      |              | und** |                       |
|                      |              |       |                       |
|                      |              | **6   |                       |
|                      |              | 9525, |                       |
|                      |              | 6     |                       |
|                      |              | 9527, |                       |
|                      |              | 69    |                       |
|                      |              | 528** |                       |
+----------------------+--------------+-------+-----------------------+
| **Total Number of    |              | **C   |                       |
| Employees**: 2750    |              | ertif |                       |
| (EMS Scope); 1624    |              | icate |                       |
| OHSAS Scope          |              | Expir |                       |
|                      |              | ation |                       |
|                      |              | Date: |                       |
|                      |              | EMS   |                       |
|                      |              | --    |                       |
|                      |              | 6/2   |                       |
|                      |              | 4/07; |                       |
|                      |              | OHSAS |                       |
|                      |              | Phase |                       |
|                      |              | 1 --  |                       |
|                      |              | 10/1  |                       |
|                      |              | 0/07, |                       |
|                      |              | Phase |                       |
|                      |              | 2 --  |                       |
|                      |              | 12/1  |                       |
|                      |              | /08** |                       |
+----------------------+--------------+-------+-----------------------+
| **Scope Statement    |              |       |                       |
| has been verified**: |              |       |                       |
| YES NO               |              |       |                       |
+----------------------+--------------+-------+-----------------------+
| **Confidentiality    |              |       |                       |
| and non-disclosure   |              |       |                       |
| agreement has been   |              |       |                       |
| signed by all        |              |       |                       |
| auditors and is on   |              |       |                       |
| file with NSF**      |              |       |                       |
+----------------------+--------------+-------+-----------------------+
| **Executive          |              |       |                       |
| Summary** (list      |              |       |                       |
| positive practices,  |              |       |                       |
| summary type of      |              |       |                       |
| findings, auditors'  |              |       |                       |
| evaluation of the    |              |       |                       |
| condition of the MS, |              |       |                       |
| note any positive or |              |       |                       |
| negative trends)     |              |       |                       |
|                      |              |       |                       |
| Recommending for     |              |       |                       |
| continue             |              |       |                       |
| regist               |              |       |                       |
| ration/certification |              |       |                       |
| to both Standards    |              |       |                       |
| for those            |              |       |                       |
| organizations        |              |       |                       |
| included in the      |              |       |                       |
| respective           |              |       |                       |
| (EMS/OSHMS) scopes.  |              |       |                       |
|                      |              |       |                       |
| Continual            |              |       |                       |
| Improvements/System  |              |       |                       |
| Strengths identified |              |       |                       |
| during this audit    |              |       |                       |
| included:            |              |       |                       |
|                      |              |       |                       |
| The response and     |              |       |                       |
| solutions            |              |       |                       |
| implemented in F&O   |              |       |                       |
| regarding the noise  |              |       |                       |
| hazards identified   |              |       |                       |
| by OMC for work that |              |       |                       |
| is done in the Motor |              |       |                       |
| Pool area. Resulted  |              |       |                       |
| in a very thorough   |              |       |                       |
| causal               |              |       |                       |
| investigation, which |              |       |                       |
| further induced very |              |       |                       |
| effective solutions  |              |       |                       |
| that included        |              |       |                       |
| revising JRAs,       |              |       |                       |
| procedures, and      |              |       |                       |
| development of       |              |       |                       |
| communications and   |              |       |                       |
| training tools that  |              |       |                       |
| has been applied to  |              |       |                       |
| the Motor Pool       |              |       |                       |
| operations and       |              |       |                       |
| beyond within F&O.   |              |       |                       |
| The inclusion of     |              |       |                       |
| this issue in the    |              |       |                       |
| Lessons Learned web  |              |       |                       |
| information site has |              |       |                       |
| also helped other    |              |       |                       |
| groups at BNL with   |              |       |                       |
| identification of    |              |       |                       |
| this hazard and      |              |       |                       |
| development of       |              |       |                       |
| appropriate          |              |       |                       |
| controls.            |              |       |                       |
|                      |              |       |                       |
| Collider-Accelerator |              |       |                       |
| Department, Basic    |              |       |                       |
| Energy Sciences      |              |       |                       |
| Directorate, Physics |              |       |                       |
| Department,          |              |       |                       |
| Instrumentation      |              |       |                       |
| Division, National   |              |       |                       |
| Synchotron Light     |              |       |                       |
| Source have          |              |       |                       |
| self-funded P2       |              |       |                       |
| and/or S2 projects   |              |       |                       |
| when they did not    |              |       |                       |
| receive funding      |              |       |                       |
| through those        |              |       |                       |
| programs. This       |              |       |                       |
| demonstrates a high  |              |       |                       |
| level of commitment  |              |       |                       |
| to protection and    |              |       |                       |
| improvement of       |              |       |                       |
| environmental,       |              |       |                       |
| health and safety    |              |       |                       |
| performance and the  |              |       |                       |
| acceptance of        |              |       |                       |
| responsibility and   |              |       |                       |
| accountability for   |              |       |                       |
| these matters.       |              |       |                       |
|                      |              |       |                       |
| C-AD/Superconducting |              |       |                       |
| Magnet Division      |              |       |                       |
| (SMD) listing of     |              |       |                       |
| action               |              |       |                       |
| items/decisions from |              |       |                       |
| their respective     |              |       |                       |
| Management Review    |              |       |                       |
| meetings, and        |              |       |                       |
| inclusion of the     |              |       |                       |
| items/decisions as   |              |       |                       |
| part of their FY06   |              |       |                       |
| objectives and       |              |       |                       |
| targets.             |              |       |                       |
| Additionally, the    |              |       |                       |
| recording and        |              |       |                       |
| tracking of the      |              |       |                       |
| progress of          |              |       |                       |
| completion for these |              |       |                       |
| items in ATS.        |              |       |                       |
|                      |              |       |                       |
| C-AD use of the \"15 |              |       |                       |
| Best-Safe Company    |              |       |                       |
| Practices\" approach |              |       |                       |
| to                   |              |       |                       |
| institutionalizing a |              |       |                       |
| pro-Safety/safe work |              |       |                       |
| culture within their |              |       |                       |
| Department, and for  |              |       |                       |
| working to spread    |              |       |                       |
| this approach and    |              |       |                       |
| attitude to the rest |              |       |                       |
| of the Lab.          |              |       |                       |
|                      |              |       |                       |
| EWMSD\'s response to |              |       |                       |
| and handling of the  |              |       |                       |
| \"Opacity            |              |       |                       |
| Excursions\" issue   |              |       |                       |
| that resulted in two |              |       |                       |
| NOVs from the        |              |       |                       |
| regulators. By using |              |       |                       |
| the systems approach |              |       |                       |
| (they made this      |              |       |                       |
| issue an O/T),       |              |       |                       |
| developing an action |              |       |                       |
| plan, implementing   |              |       |                       |
| the plan, monitoring |              |       |                       |
| for success and      |              |       |                       |
| evaluating for       |              |       |                       |
| further              |              |       |                       |
| improvements, EWMSD  |              |       |                       |
| quickly,             |              |       |                       |
| efficiently, and     |              |       |                       |
| effectively          |              |       |                       |
| eliminated the       |              |       |                       |
| apparent             |              |       |                       |
| non-compliant        |              |       |                       |
| situation, and       |              |       |                       |
| maintained their     |              |       |                       |
| positive             |              |       |                       |
| environmental image. |              |       |                       |
| The quick, efficient |              |       |                       |
| response also helped |              |       |                       |
| to avoid further     |              |       |                       |
| difficulties with    |              |       |                       |
| the regulatory       |              |       |                       |
| agency and helped to |              |       |                       |
| institute more       |              |       |                       |
| environmentally      |              |       |                       |
| friendly practices   |              |       |                       |
| in the operations    |              |       |                       |
| area effected.       |              |       |                       |
|                      |              |       |                       |
| EENS includes        |              |       |                       |
| descriptions of      |              |       |                       |
| changes to documents |              |       |                       |
| that allows the user |              |       |                       |
| to clearly learn     |              |       |                       |
| what revisions were  |              |       |                       |
| made - this conforms |              |       |                       |
| very well to the     |              |       |                       |
| intent of the ISO    |              |       |                       |
| 14001 Standard       |              |       |                       |
| (Clause 4.4.5.c).    |              |       |                       |
|                      |              |       |                       |
| Internal Audit       |              |       |                       |
| implementation       |              |       |                       |
| continues to be a    |              |       |                       |
| strong point of the  |              |       |                       |
| overall management   |              |       |                       |
| system (E & HS).     |              |       |                       |
|                      |              |       |                       |
| ERP-Condition        |              |       |                       |
| Reporting/Corrective |              |       |                       |
| Action Process; use  |              |       |                       |
| of Lessons Learned   |              |       |                       |
| in weekly EHS        |              |       |                       |
| communications       |              |       |                       |
| activities and in    |              |       |                       |
| work-specific        |              |       |                       |
| procedures; and work |              |       |                       |
| perm                 |              |       |                       |
| itting/documentation |              |       |                       |
| requirements         |              |       |                       |
+----------------------+--------------+-------+-----------------------+
| EWMSD - Excellent    |              |       |                       |
| development of new   |              |       |                       |
| 90-Day Area          |              |       |                       |
| inspection form from |              |       |                       |
| the corrective       |              |       |                       |
| action process! Team |              |       |                       |
| approach with        |              |       |                       |
| involvement of the   |              |       |                       |
| form users resulted  |              |       |                       |
| in a form that is    |              |       |                       |
| much more flexible   |              |       |                       |
| for recording        |              |       |                       |
| additional           |              |       |                       |
| information. Form is |              |       |                       |
| also used for 20     |              |       |                       |
| weeks, rather than 1 |              |       |                       |
| week, saving a lot   |              |       |                       |
| of paper.            |              |       |                       |
|                      |              |       |                       |
| Throughout the Lab,  |              |       |                       |
| management           |              |       |                       |
| commitment to        |              |       |                       |
| comments and         |              |       |                       |
| suggestions is       |              |       |                       |
| evident. At NSLS, in |              |       |                       |
| particular,          |              |       |                       |
| management responds  |              |       |                       |
| via email to every   |              |       |                       |
| EHS committee        |              |       |                       |
| comment and the      |              |       |                       |
| responses are        |              |       |                       |
| published in the     |              |       |                       |
| minutes. Employees   |              |       |                       |
| really feel that     |              |       |                       |
| management cares     |              |       |                       |
| about their          |              |       |                       |
| concerns.            |              |       |                       |
|                      |              |       |                       |
| Instrumentation      |              |       |                       |
| Division - effective |              |       |                       |
| in communicating     |              |       |                       |
| specifics about the  |              |       |                       |
| Objectives and       |              |       |                       |
| Targets, giving      |              |       |                       |
| employees a good     |              |       |                       |
| sense of how the EHS |              |       |                       |
| management system    |              |       |                       |
| drives continual     |              |       |                       |
| improvement.         |              |       |                       |
+----------------------+--------------+-------+-----------------------+
| **No. of New Majors: | **No. of New |       | **No. of OFI\'s: 2**  |
| 0**                  | Minors: 2**  |       |                       |
+----------------------+--------------+-------+-----------------------+
| **Previous CARs Not  | **Previous   |       | **Previous Minors     |
| Closed:**            | Majors       |       | Closed:**             |
|                      | Closed:**    |       |                       |
| **0**                |              |       | **6**                 |
|                      | **NA**       |       |                       |
+----------------------+--------------+-------+-----------------------+
| #                    |              |       |                       |
|                      |              |       |                       |
| # RECOMMENDATIONS:   |              |       |                       |
|                      |              |       |                       |
| The Closing Meeting  |              |       |                       |
| was held on June 23, |              |       |                       |
| 2006 with management |              |       |                       |
| to summarize the     |              |       |                       |
| audit results. Based |              |       |                       |
| on the results of    |              |       |                       |
| the audit, the audit |              |       |                       |
| team will make the   |              |       |                       |
| following            |              |       |                       |
| recommendation to    |              |       |                       |
| NSF-ISR Management:  |              |       |                       |
|                      |              |       |                       |
| #   RECOMMENDAT      |              |       |                       |
| ION FOR CONTINUED .  |              |       |                       |
|                      |              |       |                       |
| > **RECOMMENDATION   |              |       |                       |
| > FOR** **FOLLOWING  |              |       |                       |
| > VERIFICATION OF    |              |       |                       |
| > CORRECTIVE ACTION  |              |       |                       |
| > -** There are one  |              |       |                       |
| > or more            |              |       |                       |
| > nonconformances    |              |       |                       |
| > that, in the       |              |       |                       |
| > judgment of the    |              |       |                       |
| > lead auditor, can  |              |       |                       |
| > be corrected by    |              |       |                       |
| > the Company and    |              |       |                       |
| > verified by an     |              |       |                       |
| > auditor without a  |              |       |                       |
| > full re-audit.     |              |       |                       |
| >                    |              |       |                       |
| > **RECOMMENDATION   |              |       |                       |
| > FOR ON SITE        |              |       |                       |
| > REASSESSMENT -**   |              |       |                       |
| > There are several  |              |       |                       |
| > nonconformances    |              |       |                       |
| > that represent a   |              |       |                       |
| > breakdown of the   |              |       |                       |
| > Company's          |              |       |                       |
| > management system. |              |       |                       |
| > Another full       |              |       |                       |
| > onsite audit is    |              |       |                       |
| > required.          |              |       |                       |
+----------------------+--------------+-------+-----------------------+
| **Changes Since Last |              |       |                       |
| Audit**: Describe    |              |       |                       |
| changes in           |              |       |                       |
| operations,          |              |       |                       |
| specifications,      |              |       |                       |
| organization,        |              |       |                       |
| responsibility,      |              |       |                       |
| Management System    |              |       |                       |
| documentation,       |              |       |                       |
| ac                   |              |       |                       |
| quisitions/closures, |              |       |                       |
| etc., since the      |              |       |                       |
| previous audit.      |              |       |                       |
| Also, include a      |              |       |                       |
| summary of evidence  |              |       |                       |
| of continuous        |              |       |                       |
| improvements.        |              |       |                       |
|                      |              |       |                       |
| Former Lab Director  |              |       |                       |
| has stepped down;    |              |       |                       |
| interim Director in  |              |       |                       |
| charge currently     |              |       |                       |
| with search in       |              |       |                       |
| progress. No other   |              |       |                       |
| substantial changes  |              |       |                       |
| to operations, etc.  |              |       |                       |
| since previous       |              |       |                       |
| visits.              |              |       |                       |
+----------------------+--------------+-------+-----------------------+
| **Use of the NSF-ISR |              |       |                       |
| Registration         |              |       |                       |
| M                    |              |       |                       |
| ark[:]{.underline}** |              |       |                       |
| During the audit     |              |       |                       |
| visit the auditor    |              |       |                       |
| reviewed the         |              |       |                       |
| organization's use   |              |       |                       |
| of the\              |              |       |                       |
| NSF-ISR registration |              |       |                       |
| mark and determined  |              |       |                       |
| that: *(check one    |              |       |                       |
| box)*                |              |       |                       |
|                      |              |       |                       |
| +--------+--------+  |              |       |                       |
| | > The  | > The  |  |              |       |                       |
| | > Mark | > Mark |  |              |       |                       |
| | > is   | > is   |  |              |       |                       |
| | > NOT  | > NOT  |  |              |       |                       |
| | >      | >      |  |              |       |                       |
| |  being |  being |  |              |       |                       |
| | > ap   | > a    |  |              |       |                       |
| | plied. | pplied |  |              |       |                       |
| | >      | > cor  |  |              |       |                       |
| | > The  | rectly |  |              |       |                       |
| | > Mark | > and  |  |              |       |                       |
| | > is   | > the  |  |              |       |                       |
| | >      | >      |  |              |       |                       |
| |  being | organi |  |              |       |                       |
| | > a    | zation |  |              |       |                       |
| | pplied | > is   |  |              |       |                       |
| | > cor  | > NOT  |  |              |       |                       |
| | rectly | > pr   |  |              |       |                       |
| | > and  | operly |  |              |       |                       |
| | > the  | >      |  |              |       |                       |
| | >      |  adver |  |              |       |                       |
| | organi | tising |  |              |       |                       |
| | zation | >      |  |              |       |                       |
| | > is   |  their |  |              |       |                       |
| | > pr   | > R    |  |              |       |                       |
| | operly | egistr |  |              |       |                       |
| | >      | ation. |  |              |       |                       |
| |  adver | >      |  |              |       |                       |
| | tising | >      |  |              |       |                       |
| | >      | Other: |  |              |       |                       |
| |  their | > [    |  |              |       |                       |
| | > R    |      ] |  |              |       |                       |
| | egistr | {.unde |  |              |       |                       |
| | ation. | rline} |  |              |       |                       |
| +--------+--------+  |              |       |                       |
+----------------------+--------------+-------+-----------------------+
| Based on the numbers |              |       |                       |
| of nonconformance's  |              |       |                       |
| identified by the    |              |       |                       |
| NSF-ISR audit team   |              |       |                       |
| the Company's        |              |       |                       |
| **internal audit     |              |       |                       |
| system** and overall |              |       |                       |
| management system is |              |       |                       |
| **acceptable**.      |              |       |                       |
|                      |              |       |                       |
| # This report will   |              |       |                       |
|  be submitted to NSF |              |       |                       |
|  management for its  |              |       |                       |
| (continuing) registr |              |       |                       |
| ation determination. |              |       |                       |
+----------------------+--------------+-------+-----------------------+

#  

**Definitions:**

## Nonconformance:

**Major --** The absence or complete breakdown of an element of the
management system. A number of minor nonconformances against one element
can represent a total breakdown of the system and thus be considered a
major nonconformance. A major could also be a nonconformance that would
result in the probable shipment of nonconforming product or reduce the
usability of the product or service for its intended use or a
nonconformance that would result in the failure of the management system
or materially reduce its ability to assure controlled processes and
products. A major might also be written as a result of a significant
environmental incident.

**Minor --** A single observed nonconformance. A minor nonconformance
shall not generally be a reason to withhold registration unless, in the
judgment of the audit team, the minors are numerous that it represents a
breakdown of the standard element or Company's management system.

> **Opportunity for Improvement** **--** A finding not determined to be
> a nonconformance but which, in the opinion of the audit team, would be
> a management system improvement.

Corrective Action Plan Closure Requirements

Corrective Action shall be applied to the identified major/minor.
Corrective action impact analysis shall be extended to all areas where
similar nonconformance [may]{.underline} exist and as applicable.

The Company shall perform a root cause analysis and define corresponding
corrective actions to be implemented as soon as possible and within 90
days of this visit. The Company shall inform the lead auditor of
corrective actions and target date for implementation. Corrective action
should be extended to all areas where similar nonconformance may exist.
Corrective action should also be taken on all nonconformances regardless
of the process rating.

**Organization CAR Closure Process:**

**The auditor will review the CAR plan for the following elements-**

1.  Determine / document any immediate action required / taken

2.  Determine the Cause of the Problem (e.g. True Root Cause, 5 why's)

3.  Evaluate Action needed on the Identified Cause

4.  Determine if the problem exists elsewhere in the system and
    implement actions needed

5.  Document the results of the action taken

6.  Review/Verify and document effectiveness of Action taken with
    objective evidence

NOTE: Closure shall be documented using the company's internal
implemented Corrective Action process, and with attachment of supporting
evidence. (i.e. Training records, revised procedures, etc)

Plan Required in 7 days Plan Required in 30 Days Corrective Action Plan
Not Required

Other (Explain):      

Corrective actions shall be mailed to: Ken Clayman

6125 Fox Point Road

Fredericksburg, VA 22407

<gesolutions@gesolutions.com>

703-995-4857 (Fax)

+------------------------------------+---------------------------------+
| **Opening Meeting Date**: June 19, |                                 |
| 2006                               |                                 |
|                                    |                                 |
| **Attendance**: Ken Clayman-NSF    |                                 |
| Auditor, B. Sprague-NSF Auditor;   |                                 |
| R. Sabatini-Ops Coord, CMPMSD; J.  |                                 |
| Selva-EMS PM; D. Bauer-ECR; R.     |                                 |
| Lee-EWMSD; K. Bavlciga-DO; B.      |                                 |
| Chaloupka; J. Falco-EP-OMC Mgr; K. |                                 |
| Klaus-ECR; M. vanEssendelft-ECR;   |                                 |
| M. McCann; G-J Wang-MO Chair; R.   |                                 |
| Selvey-SHSD-IH Group; S.           |                                 |
| Ferrone-ECR; P. Williams-SHSD      |                                 |
| Manager; B. Dorsch-LTRA Group Mgr; |                                 |
| C. Porreto-QA; J. Scott-EC; R.     |                                 |
| Karol-C-AD ESHQ DD; E. Lessard-C-A |                                 |
| Assoc. Chair ESSHR; B. McNair-IAD  |                                 |
| Mgr.; A. Emrick-EMS Rep Life Sci.; |                                 |
| J. Peters-IH; J. Tarpinian-ESH&Q   |                                 |
| Director; P. Carr-DA/EENS MR; R.   |                                 |
| Gill-PO; R. Costa-DF ESH&Q Mgr; G. |                                 |
| Goode-EWMSD Mgr.; T.               |                                 |
| Lambertson-Central Fab. Services   |                                 |
| Mgr.; H. Gordon-Physics Assoc.     |                                 |
| Chair; P. Pohlot-ECR; G.           |                                 |
| Granzler-DOE; K. Fox-BNL ALDF; T.  |                                 |
| Landlan-Physics Dept.; C.          |                                 |
| Wirick-Chair EE; M. Israel-FO      |                                 |
| Fiscal Ofcr.; W. Girkan-Life Sci.; |                                 |
| J. Taylor-EMS/OSH MR BESD          |                                 |
+------------------------------------+---------------------------------+
| **Closing Meeting Date:** June 23, |                                 |
| 2006                               |                                 |
|                                    |                                 |
| **Attendance**: Ken Clayman-NSF    |                                 |
| Auditor, B. Sprague-NSF Auditor    |                                 |
+------------------------------------+---------------------------------+
| Opening Meeting Topics             | Closing Meeting Topics          |
+------------------------------------+---------------------------------+
| # Introducti                       | # Stress Appreciat              |
| on - Discuss Role of Each Auditor  | ion for Cooperation/Hospitality |
+------------------------------------+---------------------------------+
| **Leave Continuous Improvement     | # Attendance Sheet Circulated   |
| Survey with Management             |                                 |
| Representative**                   |                                 |
+------------------------------------+---------------------------------+
| **Attendance Sheet Circulated (if  | **Customer Review and Approval  |
| necessary)**                       | of FRS including Scope          |
|                                    | Statement on the FRS (review    |
|                                    | with client)**                  |
+------------------------------------+---------------------------------+
| **Confirm                          | # State Purpose of Meeting      |
| Confidentiality/Nondisclosure      |                                 |
| Agreement**                        |                                 |
+------------------------------------+---------------------------------+
| **Review Scope/Objectives of       | # Recommendation of Audit Team  |
| Audit**                            |                                 |
+------------------------------------+---------------------------------+
| **Discuss Audit Process:** Sample  | **Management System             |
| of Management System               | Strengths/Features**            |
+------------------------------------+---------------------------------+
| NSF-ISR Checklist / Objective      | ###### Management               |
| Evidence                           |  System Features to be Improved |
+------------------------------------+---------------------------------+
| CARs - Auditor/Auditee             | **Audit Report Summary:**       |
| Responsibilities                   |                                 |
|                                    | > Definitions of Major/Minor    |
|                                    | > Non-Conformance               |
|                                    | >                               |
|                                    | > Audit Summary Sheet -         |
|                                    | > Conformance to Audit Standard |
|                                    | > Review Scope/Objective of     |
|                                    | > Audit/Sampling of Management  |
|                                    | > System                        |
+------------------------------------+---------------------------------+
| Definition of Major/Minor          | # Corrective Action R           |
| Non-Conformance/opportunity for    | esponse (CARs) Request Process: |
| improvement                        |                                 |
|                                    | # 1) Id                         |
|                                    | entify Immediate Problem 2) Roo |
|                                    | t Cause Analysis 3) Prevention  |
|                                    |                                 |
|                                    | # *(solicit commitments         |
|                                    |  and timing of implementation)* |
+------------------------------------+---------------------------------+
| Appeals Process                    | # Final                         |
|                                    | Report - process/content/timing |
+------------------------------------+---------------------------------+
| Audit Summary Sheet - Conformance  | **Confidentiality**             |
| to audit standard                  |                                 |
+------------------------------------+---------------------------------+
| # Daily Meetings                   | # Appeals Process               |
+------------------------------------+---------------------------------+
| # Define Three                     | # Explain Ve                    |
|  Registration Recommendation Types | rification Audit, If Applicable |
+------------------------------------+---------------------------------+
| ####                               | **If Recommendation is to       |
| ## Closing Meeting Time/Date/Place | Register: N/A**                 |
+------------------------------------+---------------------------------+
| **Review site safety/emergency     | Management System Changes, if   |
| procedures**                       | applicable                      |
+------------------------------------+---------------------------------+
| **Review Audit Schedule** (*revise | Registrar Changing Rules        |
| as needed)*                        |                                 |
+------------------------------------+---------------------------------+
| **Confirm Escort/Guide**           | Maintaining Customer Complaint  |
|                                    | Record                          |
+------------------------------------+---------------------------------+
| **Identify and Clarify             | Surveillance Audits             |
| Communication Links**              |                                 |
+------------------------------------+---------------------------------+
| **Confirm Working Arrangements -   | Use of NSF-ISR Mark             |
| hrs/lunch/auditor facilities**     |                                 |
+------------------------------------+---------------------------------+

**Corrective Action Requests: (OFI's should be numbered as OFI-1, OFI-2,
etc.)**

+-----------+---------------------------+-----------+-----------------+
| **[CAR    | **[Standard No. And       | **        |                 |
| No.:]{.s  | Clause:]{.smallcaps} ISO  | [Location |                 |
| mallcaps} | 14001:2004 and OHSAS      | of        |                 |
| OFI-1**   | 18001:1999, Clause        | Fin       |                 |
|           | 4.3.3**                   | ding]{.sm |                 |
|           |                           | allcaps}: |                 |
|           |                           | F&O       |                 |
|           |                           | Di        |                 |
|           |                           | rectorate |                 |
|           |                           | and other |                 |
|           |                           | Divis     |                 |
|           |                           | ions/Dire |                 |
|           |                           | ctorate - |                 |
|           |                           | Pro       |                 |
|           |                           | grammatic |                 |
|           |                           | Reviews** |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       | **[Discussed              |           | **[FRS: 69525,  |
| Type:]{.s | With:]{.smallcaps}        |           | 69527,          |
| mallcaps} | EMS/OSHMS Representatives |           | 69528           |
| OFI**     | from the named Groups**   |           | ]{.smallcaps}** |
|           |                           |           |                 |
|           |                           |           | **[Audit Date:  |
|           |                           |           | 6/19-23/06      |
|           |                           |           | ]{.smallcaps}** |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| Requireme |                           |           |                 |
| nt:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **The     |                           |           |                 |
| org       |                           |           |                 |
| anization |                           |           |                 |
| shall     |                           |           |                 |
| establish |                           |           |                 |
| o         |                           |           |                 |
| bjectives |                           |           |                 |
| and       |                           |           |                 |
| targets   |                           |           |                 |
| that are  |                           |           |                 |
| me        |                           |           |                 |
| asurable, |                           |           |                 |
| where     |                           |           |                 |
| p         |                           |           |                 |
| ractical, |                           |           |                 |
| and       |                           |           |                 |
| c         |                           |           |                 |
| onsistent |                           |           |                 |
| with the  |                           |           |                 |
| co        |                           |           |                 |
| mmitments |                           |           |                 |
| to EHS    |                           |           |                 |
| policy,   |                           |           |                 |
| p         |                           |           |                 |
| revention |                           |           |                 |
| of        |                           |           |                 |
| pollution |                           |           |                 |
| and       |                           |           |                 |
| continual |                           |           |                 |
| imp       |                           |           |                 |
| rovement. |                           |           |                 |
| (Refer    |                           |           |                 |
| also to   |                           |           |                 |
| the       |                           |           |                 |
| de        |                           |           |                 |
| finitions |                           |           |                 |
| for       |                           |           |                 |
| objective |                           |           |                 |
| and       |                           |           |                 |
| targets   |                           |           |                 |
| within    |                           |           |                 |
| the two   |                           |           |                 |
| stan      |                           |           |                 |
| dards.)** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| No        |                           |           |                 |
| nconformi |                           |           |                 |
| ty:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **NA**    |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Objective |                           |           |                 |
| Eviden    |                           |           |                 |
| ce:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **At      |                           |           |                 |
| least two |                           |           |                 |
| of the    |                           |           |                 |
| o         |                           |           |                 |
| bjectives |                           |           |                 |
| es        |                           |           |                 |
| tablished |                           |           |                 |
| for the   |                           |           |                 |
| F&O       |                           |           |                 |
| Di        |                           |           |                 |
| rectorate |                           |           |                 |
| (\"Legal  |                           |           |                 |
| & Other   |                           |           |                 |
| Requi     |                           |           |                 |
| rements\" |                           |           |                 |
| and       |                           |           |                 |
| \         |                           |           |                 |
| "Maintain |                           |           |                 |
| Op        |                           |           |                 |
| erational |                           |           |                 |
| Co        |                           |           |                 |
| ntrols\") |                           |           |                 |
| do not    |                           |           |                 |
| appear to |                           |           |                 |
| clearly   |                           |           |                 |
| state the |                           |           |                 |
| actual    |                           |           |                 |
| goals for |                           |           |                 |
| F&O.      |                           |           |                 |
| Addi      |                           |           |                 |
| tionally, |                           |           |                 |
| several   |                           |           |                 |
| of the    |                           |           |                 |
| targets   |                           |           |                 |
| do not    |                           |           |                 |
| provide   |                           |           |                 |
| specific, |                           |           |                 |
| m         |                           |           |                 |
| easurable |                           |           |                 |
| goals     |                           |           |                 |
| that      |                           |           |                 |
| would     |                           |           |                 |
| help F&O  |                           |           |                 |
| to        |                           |           |                 |
| achieve   |                           |           |                 |
| pe        |                           |           |                 |
| rformance |                           |           |                 |
| impr      |                           |           |                 |
| ovements. |                           |           |                 |
| Similar   |                           |           |                 |
| issues    |                           |           |                 |
| were      |                           |           |                 |
| i         |                           |           |                 |
| dentified |                           |           |                 |
| with the  |                           |           |                 |
| objective |                           |           |                 |
| s/targets |                           |           |                 |
| es        |                           |           |                 |
| tablished |                           |           |                 |
| in EWMSD, |                           |           |                 |
| C-AD/SMD  |                           |           |                 |
| and       |                           |           |                 |
| EENS.**   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| *         |                           |           |                 |
| *[Auditor |                           |           |                 |
| Review of |                           |           |                 |
| Company's |                           |           |                 |
| C         |                           |           |                 |
| orrective |                           |           |                 |
| Acti      |                           |           |                 |
| on:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **[Comm   |                           |           |                 |
| ents:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|      **   |                           |           |                 |
|           |                           |           |                 |
| **[Stat   |                           |           |                 |
| us:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
| **[Aud    |                           |           |                 |
| itor:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|           |                           |           |                 |
| [         |                           |           |                 |
| Date:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|      **   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+

+-----------+---------------------------+-----------+-----------------+
| **[CAR    | **[Standard No. And       | **        |                 |
| No.:]{.s  | Clause:]{.smallcaps} ISO  | [Location |                 |
| mallcaps} | 14001:2004, OHSAS         | of        |                 |
| BNL       | 18001:1999, Clauses       | Fin       |                 |
| -SA06-2** | 4.4.5**                   | ding]{.sm |                 |
|           |                           | allcaps}: |                 |
|           |                           | Noted in  |                 |
|           |                           | E         |                 |
|           |                           | vidence** |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       | **[Discussed              |           | **[FRS: 69525,  |
| Type:]{.s | With:]{.smallcaps}        |           | 69527,          |
| mallcaps} | Representatives from each |           | 69528           |
| Minor**   | division or area noted**  |           | ]{.smallcaps}** |
|           |                           |           |                 |
|           |                           |           | **[Audit Date:  |
|           |                           |           | 6/19-23/06      |
|           |                           |           | ]{.smallcaps}** |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| Requireme |                           |           |                 |
| nt:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **M       |                           |           |                 |
| anagement |                           |           |                 |
| System    |                           |           |                 |
| documents |                           |           |                 |
| shall be  |                           |           |                 |
| m         |                           |           |                 |
| aintained |                           |           |                 |
| under     |                           |           |                 |
| controls  |                           |           |                 |
| per       |                           |           |                 |
| pr        |                           |           |                 |
| ocedures. |                           |           |                 |
| Obsolete  |                           |           |                 |
| documents |                           |           |                 |
| must be   |                           |           |                 |
| removed   |                           |           |                 |
| from      |                           |           |                 |
| ci        |                           |           |                 |
| rculation |                           |           |                 |
| to        |                           |           |                 |
| prevent   |                           |           |                 |
| u         |                           |           |                 |
| nintended |                           |           |                 |
| use.      |                           |           |                 |
| Documents |                           |           |                 |
| must be   |                           |           |                 |
| available |                           |           |                 |
| at points |                           |           |                 |
| of use.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| No        |                           |           |                 |
| nconformi |                           |           |                 |
| ty:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| *         |                           |           |                 |
| *Evidence |                           |           |                 |
| of        |                           |           |                 |
| documents |                           |           |                 |
| that are  |                           |           |                 |
| not being |                           |           |                 |
| c         |                           |           |                 |
| ontrolled |                           |           |                 |
| properly  |                           |           |                 |
| was found |                           |           |                 |
| in the    |                           |           |                 |
| noted Lab |                           |           |                 |
| areas/di  |                           |           |                 |
| visions/l |                           |           |                 |
| ocations. |                           |           |                 |
| This      |                           |           |                 |
| included  |                           |           |                 |
| evidence  |                           |           |                 |
| of not    |                           |           |                 |
| removing  |                           |           |                 |
| obsolete  |                           |           |                 |
| documents |                           |           |                 |
| from      |                           |           |                 |
| u         |                           |           |                 |
| nintended |                           |           |                 |
| use, not  |                           |           |                 |
| providing |                           |           |                 |
| ap        |                           |           |                 |
| propriate |                           |           |                 |
| revision  |                           |           |                 |
| in        |                           |           |                 |
| formation |                           |           |                 |
| on        |                           |           |                 |
| c         |                           |           |                 |
| ontrolled |                           |           |                 |
| d         |                           |           |                 |
| ocuments, |                           |           |                 |
| and**     |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Objective |                           |           |                 |
| Eviden    |                           |           |                 |
| ce:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **        |                           |           |                 |
| F&O-Staff |                           |           |                 |
| Services  |                           |           |                 |
| Division, |                           |           |                 |
| Motor     |                           |           |                 |
| Pool -    |                           |           |                 |
| Using     |                           |           |                 |
| JRAs      |                           |           |                 |
| i         |                           |           |                 |
| dentified |                           |           |                 |
| as        |                           |           |                 |
| \"Draft\" |                           |           |                 |
| release,  |                           |           |                 |
| while the |                           |           |                 |
| actual    |                           |           |                 |
| release   |                           |           |                 |
| is Rev.   |                           |           |                 |
| 1,        |                           |           |                 |
| 4         |                           |           |                 |
| /28/06;** |                           |           |                 |
|           |                           |           |                 |
| **EWMSD   |                           |           |                 |
| Field     |                           |           |                 |
| S         |                           |           |                 |
| ervices - |                           |           |                 |
| O&M       |                           |           |                 |
| Manual    |                           |           |                 |
| was not   |                           |           |                 |
| present   |                           |           |                 |
| at the    |                           |           |                 |
| OS-1      |                           |           |                 |
| gr        |                           |           |                 |
| oundwater |                           |           |                 |
| treatment |                           |           |                 |
| facility  |                           |           |                 |
| as        |                           |           |                 |
| required  |                           |           |                 |
| in the    |                           |           |                 |
| Standard  |                           |           |                 |
| and EWMSD |                           |           |                 |
| proc      |                           |           |                 |
| edures;** |                           |           |                 |
|           |                           |           |                 |
| **F       |                           |           |                 |
| &O-HEMO - |                           |           |                 |
| Parts     |                           |           |                 |
| Washer    |                           |           |                 |
| Operating |                           |           |                 |
| Rules,    |                           |           |                 |
| posted    |                           |           |                 |
| near the  |                           |           |                 |
| equipment |                           |           |                 |
| did not   |                           |           |                 |
| include   |                           |           |                 |
| control   |                           |           |                 |
| in        |                           |           |                 |
| formation |                           |           |                 |
| such as   |                           |           |                 |
| Revisio   |                           |           |                 |
| n/Date;** |                           |           |                 |
|           |                           |           |                 |
| **BESD,   |                           |           |                 |
| Superc    |                           |           |                 |
| onducting |                           |           |                 |
| Group lab |                           |           |                 |
| -- Metal  |                           |           |                 |
| Powder    |                           |           |                 |
| Glove Box |                           |           |                 |
| binder    |                           |           |                 |
| included  |                           |           |                 |
| a         |                           |           |                 |
| procedure |                           |           |                 |
| with no   |                           |           |                 |
| evidence  |                           |           |                 |
| of        |                           |           |                 |
| document  |                           |           |                 |
| control   |                           |           |                 |
| c         |                           |           |                 |
| ontrol.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| *         |                           |           |                 |
| *[Auditor |                           |           |                 |
| Review of |                           |           |                 |
| Company's |                           |           |                 |
| C         |                           |           |                 |
| orrective |                           |           |                 |
| Acti      |                           |           |                 |
| on:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **[Comm   |                           |           |                 |
| ents:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|      **   |                           |           |                 |
|           |                           |           |                 |
| **[Stat   |                           |           |                 |
| us:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
| **[Aud    |                           |           |                 |
| itor:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|           |                           |           |                 |
| [         |                           |           |                 |
| Date:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|      **   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+

+-----------+---------------------------+-----------+-----------------+
| **[CAR    | **[Standard No. And       | **        |                 |
| No.:]{.s  | Clause:]{.smallcaps} ISO  | [Location |                 |
| mallcaps} | 14001:2004, Clause 4.6**  | of        |                 |
| BNL       |                           | Fin       |                 |
| -SA06-3** |                           | ding]{.sm |                 |
|           |                           | allcaps}: |                 |
|           |                           | Superc    |                 |
|           |                           | onducting |                 |
|           |                           | Magnet    |                 |
|           |                           | D         |                 |
|           |                           | ivision** |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       | **[Discussed              |           | **[FRS:         |
| Type:]{.s | With:]{.smallcaps}        |           | 69525           |
| mallcaps} | Environmental Compliance  |           | ]{.smallcaps}** |
| Minor**   | Representative, SMD ESH   |           |                 |
|           | Coordinator, SMD QA       |           | **[Audit Date:  |
|           | Manager**                 |           | 6/19-23/06      |
|           |                           |           | ]{.smallcaps}** |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| Requireme |                           |           |                 |
| nt:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **[       |                           |           |                 |
|    ]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| No        |                           |           |                 |
| nconformi |                           |           |                 |
| ty:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **There   |                           |           |                 |
| was no    |                           |           |                 |
| evidence  |                           |           |                 |
| that SMD  |                           |           |                 |
| included  |                           |           |                 |
| all       |                           |           |                 |
| required  |                           |           |                 |
| inputs    |                           |           |                 |
| during    |                           |           |                 |
| the       |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| Review    |                           |           |                 |
| conducted |                           |           |                 |
| in        |                           |           |                 |
| February  |                           |           |                 |
| 2006.**   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Objective |                           |           |                 |
| Eviden    |                           |           |                 |
| ce:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **Based   |                           |           |                 |
| on review |                           |           |                 |
| of the    |                           |           |                 |
| SMD       |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| Review    |                           |           |                 |
| Meeting   |                           |           |                 |
| Minutes   |                           |           |                 |
| and       |                           |           |                 |
| Pre       |                           |           |                 |
| sentation |                           |           |                 |
| records,  |                           |           |                 |
| SMD did   |                           |           |                 |
| not       |                           |           |                 |
| include   |                           |           |                 |
| the       |                           |           |                 |
| required  |                           |           |                 |
| inputs    |                           |           |                 |
| regarding |                           |           |                 |
| external  |                           |           |                 |
| envi      |                           |           |                 |
| ronmental |                           |           |                 |
| commu     |                           |           |                 |
| nications |                           |           |                 |
| and/or    |                           |           |                 |
| co        |                           |           |                 |
| mplaints, |                           |           |                 |
| and       |                           |           |                 |
| review of |                           |           |                 |
| follow-up |                           |           |                 |
| actions   |                           |           |                 |
| from      |                           |           |                 |
| previous  |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| Review.   |                           |           |                 |
| The ECR   |                           |           |                 |
| and SMD   |                           |           |                 |
| ESH       |                           |           |                 |
| Co        |                           |           |                 |
| ordinator |                           |           |                 |
| confirmed |                           |           |                 |
| that      |                           |           |                 |
| these     |                           |           |                 |
| inputs    |                           |           |                 |
| had not   |                           |           |                 |
| been      |                           |           |                 |
| included  |                           |           |                 |
| in the    |                           |           |                 |
| Review    |                           |           |                 |
| meeting   |                           |           |                 |
| dis       |                           |           |                 |
| cussions. |                           |           |                 |
| These     |                           |           |                 |
| inputs    |                           |           |                 |
| are       |                           |           |                 |
| required  |                           |           |                 |
| according |                           |           |                 |
| to ISO    |                           |           |                 |
| 1         |                           |           |                 |
| 4001:2004 |                           |           |                 |
| S         |                           |           |                 |
| ubclauses |                           |           |                 |
| 4.6.b and |                           |           |                 |
| 4.6.f.**  |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| *         |                           |           |                 |
| *[Auditor |                           |           |                 |
| Review of |                           |           |                 |
| Company's |                           |           |                 |
| C         |                           |           |                 |
| orrective |                           |           |                 |
| Acti      |                           |           |                 |
| on:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **[Comm   |                           |           |                 |
| ents:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|      **   |                           |           |                 |
|           |                           |           |                 |
| **[Stat   |                           |           |                 |
| us:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
| **[Aud    |                           |           |                 |
| itor:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|           |                           |           |                 |
| [         |                           |           |                 |
| Date:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|      **   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+

+-----------+---------------------------+-----------+-----------------+
| **[CAR    | **[Standard No. And       | **        |                 |
| No.:]{.s  | Clause:]{.smallcaps} ISO  | [Location |                 |
| mallcaps} | 14001:2004, Clause        | of        |                 |
| BNL       | 4.3.2**                   | Fin       |                 |
| -SA4-03** |                           | ding]{.sm |                 |
|           |                           | allcaps}: |                 |
|           |                           | EWMSD**   |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       | **[Discussed              |           | **[FRS:         |
| Type:]{.s | With:]{.smallcaps} EMS    |           | 69525           |
| mallcaps} | Project Manager**         |           | ]{.smallcaps}** |
| Minor**   |                           |           |                 |
|           |                           |           | **[Audit Date:  |
|           |                           |           | 6/20-23/05      |
|           |                           |           | ]{.smallcaps}** |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| Requireme |                           |           |                 |
| nt:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **The     |                           |           |                 |
| or        |                           |           |                 |
| ganizaton |                           |           |                 |
| shall     |                           |           |                 |
| e         |                           |           |                 |
| stablish, |                           |           |                 |
| implement |                           |           |                 |
| and       |                           |           |                 |
| maintain  |                           |           |                 |
| a         |                           |           |                 |
| procedure |                           |           |                 |
| to        |                           |           |                 |
| identify  |                           |           |                 |
| and have  |                           |           |                 |
| access to |                           |           |                 |
| the       |                           |           |                 |
| a         |                           |           |                 |
| pplicable |                           |           |                 |
| legal and |                           |           |                 |
| other     |                           |           |                 |
| req       |                           |           |                 |
| uirements |                           |           |                 |
| to which  |                           |           |                 |
| the       |                           |           |                 |
| org       |                           |           |                 |
| anization |                           |           |                 |
| s         |                           |           |                 |
| ubscribes |                           |           |                 |
| related   |                           |           |                 |
| to its    |                           |           |                 |
| envi      |                           |           |                 |
| ronmental |                           |           |                 |
| aspect    |                           |           |                 |
| s[.]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| No        |                           |           |                 |
| nconformi |                           |           |                 |
| ty:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **Some    |                           |           |                 |
| other     |                           |           |                 |
| req       |                           |           |                 |
| uirements |                           |           |                 |
| to which  |                           |           |                 |
| BNL       |                           |           |                 |
| s         |                           |           |                 |
| ubscribes |                           |           |                 |
| were not  |                           |           |                 |
| included  |                           |           |                 |
| on the    |                           |           |                 |
| list of   |                           |           |                 |
| legal and |                           |           |                 |
| other     |                           |           |                 |
| requ      |                           |           |                 |
| irements. |                           |           |                 |
| included  |                           |           |                 |
| in the    |                           |           |                 |
| EMS       |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| System    |                           |           |                 |
| De        |                           |           |                 |
| scription |                           |           |                 |
| document, |                           |           |                 |
| however   |                           |           |                 |
| they are  |                           |           |                 |
| following |                           |           |                 |
| those     |                           |           |                 |
| requir    |                           |           |                 |
| ements.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Objective |                           |           |                 |
| Eviden    |                           |           |                 |
| ce:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **The     |                           |           |                 |
| Req       |                           |           |                 |
| uirements |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| Subject   |                           |           |                 |
| Area      |                           |           |                 |
| (4/26/06) |                           |           |                 |
| provides  |                           |           |                 |
| the       |                           |           |                 |
| process   |                           |           |                 |
| for       |                           |           |                 |
| reviewing |                           |           |                 |
| and       |                           |           |                 |
| recording |                           |           |                 |
| of the    |                           |           |                 |
| legal and |                           |           |                 |
| other     |                           |           |                 |
| req       |                           |           |                 |
| uirements |                           |           |                 |
| at BNL -  |                           |           |                 |
| it is     |                           |           |                 |
| primarily |                           |           |                 |
| oriented  |                           |           |                 |
| to legal  |                           |           |                 |
| requ      |                           |           |                 |
| irements. |                           |           |                 |
| However,  |                           |           |                 |
| BNL has   |                           |           |                 |
| applied   |                           |           |                 |
| this      |                           |           |                 |
| approach  |                           |           |                 |
| to        |                           |           |                 |
| \"other\" |                           |           |                 |
| req       |                           |           |                 |
| uirements |                           |           |                 |
| that they |                           |           |                 |
| follow    |                           |           |                 |
| (ISO      |                           |           |                 |
| 14001,    |                           |           |                 |
| C         |                           |           |                 |
| ontractor |                           |           |                 |
| Requ      |                           |           |                 |
| irements, |                           |           |                 |
| etc.),    |                           |           |                 |
| but not   |                           |           |                 |
| all       |                           |           |                 |
| \"other\" |                           |           |                 |
| req       |                           |           |                 |
| uirements |                           |           |                 |
| are lists |                           |           |                 |
| at this   |                           |           |                 |
| time.**   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| *         |                           |           |                 |
| *[Auditor |                           |           |                 |
| Review of |                           |           |                 |
| Company's |                           |           |                 |
| C         |                           |           |                 |
| orrective |                           |           |                 |
| Acti      |                           |           |                 |
| on:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **[Comm   |                           |           |                 |
| ents:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| Req       |                           |           |                 |
| uirements |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| Subject   |                           |           |                 |
| Area was  |                           |           |                 |
| amended   |                           |           |                 |
| on        |                           |           |                 |
| 9/27/05   |                           |           |                 |
| to        |                           |           |                 |
| reflect   |                           |           |                 |
| \"other\" |                           |           |                 |
| requ      |                           |           |                 |
| irements. |                           |           |                 |
| This was  |                           |           |                 |
| discussed |                           |           |                 |
| at the    |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| Review on |                           |           |                 |
| 12/15/05. |                           |           |                 |
| Other     |                           |           |                 |
| req       |                           |           |                 |
| uirements |                           |           |                 |
| added to  |                           |           |                 |
| req       |                           |           |                 |
| uirements |                           |           |                 |
| list via  |                           |           |                 |
| 4/26/06   |                           |           |                 |
| Record of |                           |           |                 |
| Decision  |                           |           |                 |
| for       |                           |           |                 |
| Nevada    |                           |           |                 |
| Test Site |                           |           |                 |
| Waste     |                           |           |                 |
| A         |                           |           |                 |
| cceptance |                           |           |                 |
| Criteria  |                           |           |                 |
| and the   |                           |           |                 |
| Pe        |                           |           |                 |
| rformance |                           |           |                 |
| Track     |                           |           |                 |
| M         |                           |           |                 |
| embership |                           |           |                 |
| requir    |                           |           |                 |
| ements.** |                           |           |                 |
|           |                           |           |                 |
| **[St     |                           |           |                 |
| atus:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| Closed    |                           |           |                 |
| [Aud      |                           |           |                 |
| itor:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| B.        |                           |           |                 |
| Sprague   |                           |           |                 |
| [         |                           |           |                 |
| Date:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| 6/19/06** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+

+-----------+---------------------------+-----------+-----------------+
| **[CAR    | **[Standard No. And       | **        |                 |
| No.:]{.s  | Clause:]{.smallcaps} ISO  | [Location |                 |
| mallcaps} | 14001:2004 4.4.6**        | of        |                 |
| BNL-EMS   |                           | Fin       |                 |
| -SA4-06** |                           | ding]{.sm |                 |
|           |                           | allcaps}: |                 |
|           |                           |      **   |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       | **[Discussed              |           | **[FRS:         |
| Type:]{.s | With:]{.smallcaps} EMS    |           | 69525           |
| mallcaps} | Project Manager**         |           | ]{.smallcaps}** |
| Minor**   |                           |           |                 |
|           |                           |           | **[Audit Date:  |
|           |                           |           | 6/20-23/05      |
|           |                           |           | ]{.smallcaps}** |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| Requireme |                           |           |                 |
| nt:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **[       |                           |           |                 |
|    ]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| No        |                           |           |                 |
| nconformi |                           |           |                 |
| ty:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **A one   |                           |           |                 |
| gallon    |                           |           |                 |
| waste     |                           |           |                 |
| container |                           |           |                 |
| within    |                           |           |                 |
| the       |                           |           |                 |
| satellite |                           |           |                 |
| acc       |                           |           |                 |
| umulation |                           |           |                 |
| area in   |                           |           |                 |
| Lab where |                           |           |                 |
| C)-6-2    |                           |           |                 |
| applied   |                           |           |                 |
| was found |                           |           |                 |
| to have a |                           |           |                 |
| hazardous |                           |           |                 |
| waste     |                           |           |                 |
| label     |                           |           |                 |
| that had  |                           |           |                 |
| not been  |                           |           |                 |
| marked    |                           |           |                 |
| with      |                           |           |                 |
| ap        |                           |           |                 |
| propriate |                           |           |                 |
| chemi     |                           |           |                 |
| cal/waste |                           |           |                 |
| in        |                           |           |                 |
| formation |                           |           |                 |
| about the |                           |           |                 |
| co        |                           |           |                 |
| ntents.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Objective |                           |           |                 |
| Eviden    |                           |           |                 |
| ce:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **Proper  |                           |           |                 |
| labeling  |                           |           |                 |
| is        |                           |           |                 |
| required  |                           |           |                 |
| by the    |                           |           |                 |
| Hazardous |                           |           |                 |
| Waste     |                           |           |                 |
| M         |                           |           |                 |
| anagement |                           |           |                 |
| Subject   |                           |           |                 |
| Area      |                           |           |                 |
| p         |                           |           |                 |
| rocedures |                           |           |                 |
| 3         |                           |           |                 |
| /30/05.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| *         |                           |           |                 |
| *[Auditor |                           |           |                 |
| Review of |                           |           |                 |
| Company's |                           |           |                 |
| C         |                           |           |                 |
| orrective |                           |           |                 |
| Acti      |                           |           |                 |
| on:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **[Comm   |                           |           |                 |
| ents:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| Label was |                           |           |                 |
| corrected |                           |           |                 |
| the day   |                           |           |                 |
| after the |                           |           |                 |
| audit on  |                           |           |                 |
| 6/27/05.  |                           |           |                 |
| Memo to   |                           |           |                 |
| entire    |                           |           |                 |
| Chemistry |                           |           |                 |
| d         |                           |           |                 |
| epartment |                           |           |                 |
| 6/29/05.  |                           |           |                 |
| Also      |                           |           |                 |
| published |                           |           |                 |
| an        |                           |           |                 |
| article   |                           |           |                 |
| in the    |                           |           |                 |
| \"C       |                           |           |                 |
| ompliance |                           |           |                 |
| Corner\"  |                           |           |                 |
| pu        |                           |           |                 |
| blication |                           |           |                 |
| from      |                           |           |                 |
| EWMSD in  |                           |           |                 |
| January   |                           |           |                 |
| 2006.**   |                           |           |                 |
|           |                           |           |                 |
| **[St     |                           |           |                 |
| atus:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| Closed    |                           |           |                 |
| [Aud      |                           |           |                 |
| itor:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| B.        |                           |           |                 |
| Sprague   |                           |           |                 |
| [         |                           |           |                 |
| Date:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| 6/19/06** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+

+-----------+---------------------------+-----------+-----------------+
| **[CAR    | **[Standard No. And       | **        |                 |
| No.:]{.s  | Clause:]{.smallcaps} ISO  | [Location |                 |
| mallcaps} | 14001:2004 4.4.5**        | of        |                 |
| BNL-EMS   |                           | Fin       |                 |
| -SA4-07** |                           | ding]{.sm |                 |
|           |                           | allcaps}: |                 |
|           |                           |      **   |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       | **[Discussed              |           | **[FRS:         |
| Type:]{.s | With:]{.smallcaps} EMS    |           | 69525           |
| mallcaps} | Project Manager**         |           | ]{.smallcaps}** |
| Minor**   |                           |           |                 |
|           |                           |           | **[Audit Date:  |
|           |                           |           | 6/20-23/05      |
|           |                           |           | ]{.smallcaps}** |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| Requireme |                           |           |                 |
| nt:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **        |                           |           |                 |
| Documents |                           |           |                 |
| required  |                           |           |                 |
| by the    |                           |           |                 |
| EMS shall |                           |           |                 |
| be        |                           |           |                 |
| cont      |                           |           |                 |
| rolled.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| No        |                           |           |                 |
| nconformi |                           |           |                 |
| ty:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **Auditor |                           |           |                 |
| i         |                           |           |                 |
| dentified |                           |           |                 |
| unc       |                           |           |                 |
| ontrolled |                           |           |                 |
| 90-day    |                           |           |                 |
| storage   |                           |           |                 |
| area      |                           |           |                 |
| weekly    |                           |           |                 |
| i         |                           |           |                 |
| nspection |                           |           |                 |
| forms     |                           |           |                 |
| that were |                           |           |                 |
| in use.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Objective |                           |           |                 |
| Eviden    |                           |           |                 |
| ce:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
| **Form    |                           |           |                 |
| 4.0/of    |                           |           |                 |
| o8e11.doc |                           |           |                 |
| rev 8/03  |                           |           |                 |
| is the    |                           |           |                 |
| current   |                           |           |                 |
| 90 Day    |                           |           |                 |
| Storage   |                           |           |                 |
| area      |                           |           |                 |
| weekly    |                           |           |                 |
| i         |                           |           |                 |
| nspection |                           |           |                 |
| form.     |                           |           |                 |
| However,  |                           |           |                 |
| two forms |                           |           |                 |
| were      |                           |           |                 |
| found     |                           |           |                 |
| that had  |                           |           |                 |
| been and  |                           |           |                 |
| changed   |                           |           |                 |
| to        |                           |           |                 |
| include   |                           |           |                 |
| a         |                           |           |                 |
| dditional |                           |           |                 |
| inf       |                           |           |                 |
| ormation. |                           |           |                 |
| The       |                           |           |                 |
| \"e       |                           |           |                 |
| nhanced\" |                           |           |                 |
| and       |                           |           |                 |
| unc       |                           |           |                 |
| ontrolled |                           |           |                 |
| version   |                           |           |                 |
| had not   |                           |           |                 |
| been      |                           |           |                 |
| submitted |                           |           |                 |
| for       |                           |           |                 |
| review or |                           |           |                 |
| approval  |                           |           |                 |
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| co        |                           |           |                 |
| nformance |                           |           |                 |
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| req       |                           |           |                 |
| uirements |                           |           |                 |
| included  |                           |           |                 |
| in the    |                           |           |                 |
| BNL       |                           |           |                 |
| Labora    |                           |           |                 |
| tory-Wide |                           |           |                 |
| P         |                           |           |                 |
| rocecures |                           |           |                 |
| or the    |                           |           |                 |
| Internal  |                           |           |                 |
| C         |                           |           |                 |
| ontrolled |                           |           |                 |
| Documents |                           |           |                 |
| Subject   |                           |           |                 |
| Area.**   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| *         |                           |           |                 |
| *[Auditor |                           |           |                 |
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| Company's |                           |           |                 |
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| revised   |                           |           |                 |
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| dentified |                           |           |                 |
| several   |                           |           |                 |
| 90 areas  |                           |           |                 |
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| use       |                           |           |                 |
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|           |                           |           |                 |
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| [         |                           |           |                 |
| Date:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
| 6/19/06** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+

+-----------+---------------------------+-----------+-----------------+
| **[CAR    | **[Standard No. And       | **        |                 |
| No.:]{.s  | Clause:]{.smallcaps} ISO  | [Location |                 |
| mallcaps} | 14001:2004 4.5.3**        | of        |                 |
| OFI-4**   |                           | Fin       |                 |
|           |                           | ding]{.sm |                 |
|           |                           | allcaps}: |                 |
|           |                           | NSLS**    |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       | **[Discussed              |           | **[FRS:         |
| Type:]{.s | With:]{.smallcaps} Tier 1 |           | 69525           |
| mallcaps} | Manager-NSLS**            |           | ]{.smallcaps}** |
| Minor**   |                           |           |                 |
|           |                           |           | **[Audit Date:  |
|           |                           |           | 6/19-23/06      |
|           |                           |           | ]{.smallcaps}** |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
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| nt:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
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| reventive |                           |           |                 |
| actions   |                           |           |                 |
| are       |                           |           |                 |
| required  |                           |           |                 |
| by the    |                           |           |                 |
| standard  |                           |           |                 |
| to be     |                           |           |                 |
| app       |                           |           |                 |
| ropriate, |                           |           |                 |
| recorded, |                           |           |                 |
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| effective |                           |           |                 |
| for       |                           |           |                 |
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| reventing |                           |           |                 |
| r         |                           |           |                 |
| ecurrence |                           |           |                 |
| of        |                           |           |                 |
| issues.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Statement |                           |           |                 |
| of        |                           |           |                 |
| No        |                           |           |                 |
| nconformi |                           |           |                 |
| ty:]{.sma |                           |           |                 |
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|           |                           |           |                 |
| **     ** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| **[       |                           |           |                 |
| Objective |                           |           |                 |
| Eviden    |                           |           |                 |
| ce:]{.sma |                           |           |                 |
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| portunity |                           |           |                 |
| to        |                           |           |                 |
| improve   |                           |           |                 |
| the       |                           |           |                 |
| feedback  |                           |           |                 |
| mechanism |                           |           |                 |
| for       |                           |           |                 |
| completed |                           |           |                 |
| Tier 1    |                           |           |                 |
| findings  |                           |           |                 |
| to the    |                           |           |                 |
| re        |                           |           |                 |
| sponsible |                           |           |                 |
| person.   |                           |           |                 |
| Several   |                           |           |                 |
| Tier 1    |                           |           |                 |
| findings  |                           |           |                 |
| with      |                           |           |                 |
| thir      |                           |           |                 |
| d/overdue |                           |           |                 |
| notices   |                           |           |                 |
| were in a |                           |           |                 |
| building  |                           |           |                 |
| m         |                           |           |                 |
| anager\'s |                           |           |                 |
| inbox     |                           |           |                 |
| although  |                           |           |                 |
| they had  |                           |           |                 |
| already   |                           |           |                 |
| been      |                           |           |                 |
| completed |                           |           |                 |
| and       |                           |           |                 |
| logged as |                           |           |                 |
| complete  |                           |           |                 |
| in the    |                           |           |                 |
| Tier 1    |                           |           |                 |
| M         |                           |           |                 |
| anager\'s |                           |           |                 |
| office.   |                           |           |                 |
| Building  |                           |           |                 |
| manager   |                           |           |                 |
| was not   |                           |           |                 |
| sure if   |                           |           |                 |
| they had  |                           |           |                 |
| been      |                           |           |                 |
| com       |                           |           |                 |
| pleted.** |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+
| *         |                           |           |                 |
| *[Auditor |                           |           |                 |
| Review of |                           |           |                 |
| Company's |                           |           |                 |
| C         |                           |           |                 |
| orrective |                           |           |                 |
| Acti      |                           |           |                 |
| on:]{.sma |                           |           |                 |
| llcaps}** |                           |           |                 |
|           |                           |           |                 |
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|           |                           |           |                 |
| [         |                           |           |                 |
| Date:]{.s |                           |           |                 |
| mallcaps} |                           |           |                 |
|      **   |                           |           |                 |
+-----------+---------------------------+-----------+-----------------+

**AUDIT NOTES**:

+----------+-----------------------------------------------------------+
| **Pro    | **Location/Observations**                                 |
| cesses** |                                                           |
+----------+-----------------------------------------------------------+
| **Fa     | **Identify process inputs and describe their interactions |
| cilities | with the process:**                                       |
| &        |                                                           |
| Op       | Environmental Aspects Summary Sheets (last updated        |
| erations | 1/30/06); 2004-18001-002 Job Risk Assessment (JRA; Rev.   |
| Direc    | 13, 11/18/05) - other inputs and documents noted in       |
| torate** | discussions below                                         |
|          |                                                           |
| **(4.3,  | **Process Objective(s)**:                                 |
| 4.4.1,   |                                                           |
| 4.4.2,   | Keep facilities running safely and effectively to support |
| 4.4.3,   | the R&D activities; provide infrastructure for guests,    |
| 4.4.4,   | visitors and employees; maintain security and fire        |
| 4.4.6,   | protection throughout the Lab; and provide fabrication    |
| 4.5.1,   | and assembly services for researchers and others; provide |
| O-4.3.4, | processes for procurement of materials and property       |
| 4.5.2,   | protection.                                               |
| 4.5.4,   |                                                           |
| E-4.5.3, | **Describe whether the process is effective or not:**     |
| 4.5.5)** |                                                           |
|          | F&O has done a good job of using and applying the E/OSH   |
|          | MS effectively throughout their divisions. There is good  |
|          | evidence of communications regarding systems issues, and  |
|          | that these messages are being received, understood and    |
|          | applied by BNL Staff. The situation described regarding   |
|          | the noise issue in the Motor Pool area is an excellent    |
|          | example of using the system to drive improvement          |
|          | throughout the operations - they took what could have     |
|          | been a serious health and safety situation and turned it  |
|          | into a very positive example of how the management system |
|          | can be used to both correct perceived defects and prevent |
|          | similar problems from reoccurring in the future.          |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | F&O Directorate - 5 divisions (Plant Engrg, Central       |
|          | Fabrication Services, Staff Services, Safeguards &        |
|          | Securities, Emergency Services); Property & Procurement   |
|          | is part of the F&O system, but organizationally report to |
|          | a different ALD. Changes to programs - Realigning the EMS |
|          | and OSHMS to a single ESSH system.                        |
|          |                                                           |
|          | Rev\'d: Changes to environmental aspects - Due to last    |
|          | internal audit removed \"Storage of Isotopes\" from       |
|          | significance. Determined that this aspect did not meet    |
|          | significance criteria. This did not actually change the   |
|          | documentation, but was actually a confirmation of the     |
|          | determined status from prior evaluations.                 |
|          |                                                           |
|          | Rev\'d: Changes to Job and Facility Risk Assessments      |
|          | (JRAs/FRAs) - Overexposure issue identifed in Staff       |
|          | Services motor pool regarding excessive noise when        |
|          | working with their tools. Developed Industrial Hygiene    |
|          | Noise Level Monitoring chart that shows how the use of    |
|          | each of the noise-making tools can effect their hearing,  |
|          | the kinds of protection needed and the allowable exposure |
|          | limit for use of the tools when protected. Created a      |
|          | booklet - Industrial Hygiene Noise Level Monitoring and   |
|          | Evaluation for the Staff Services Motor Pool (4/30/06, IH |
|          | Project Number 060098) - to go along with the Chart -     |
|          | OUTSTANDING work. Issue originally identified through     |
|          | contact from Occupational Medicine Clinic regarding a     |
|          | hearing loss experienced by a retiring employee from the  |
|          | Motor Pool. Objective & Target from FY06 included         |
|          | completion of at least 100 noise monitoring actions -     |
|          | which related to this, but the issues was not identified  |
|          | through these activities.                                 |
|          |                                                           |
|          | The work also resulted in updates to the Motor Pool JRA   |
|          | (noise was not originally identified on the MP JRA as a   |
|          | hazard; Rev\'d: JRA-SS-TRANS-03 Vehicle Maintenance and   |
|          | Repair, 4/28/06, Rev. 1). The issue identified was        |
|          | documented in a Corrective Action (F&O CA #9385, ATS      |
|          | #3096 - Completion due 9/1/06). The issue also was        |
|          | documented through ORPS (SC-BHSO-BNL-BNL-2006-0008,       |
|          | 4/21/06) because of it being an overexposure issue. All   |
|          | corrective/ preventive actions were included in ATS; very |
|          | complete list that is providing both correction to the    |
|          | originally identified problem and preventing recurrence   |
|          | of the issue. Some of the CA/PAs included training for    |
|          | the Motor Pool employees (included web-based training     |
|          | course and toolbox talks on hearing conservation and      |
|          | noise) - Rev\'d: Printout from BNL Training Management    |
|          | System (BTMS) for both trainings - shows all Motor Pool   |
|          | staff having completed the training (March & April 2006   |
|          | completion dates) . All Motor Pool employees also have    |
|          | gone through medical testing (hearing), and this task was |
|          | added to their Job Assessment Forms (JAFs), which now     |
|          | requires annual hearing tests. General requirement for    |
|          | employees is to wear hearing protection anytime it is     |
|          | noisy; protection has been supplied to the area and is    |
|          | made available for guests/visitors as needed. Another     |
|          | preventive measure included reviewing the Tier 1          |
|          | Assessment activities and ensuring that noise and other   |
|          | issues are more effectively captured and addressed in     |
|          | Reports and other actions. **\[NOTEWORTHY\]**             |
|          |                                                           |
|          | Other new or modified JRAs/FRAs - None for FRAs (some     |
|          | modifications to a couple of FRAs are in progress). New   |
|          | JRA for Electrical Lock-Out Tag-Out of Equipment          |
|          | (JRA-EP-GEN-LOTO-ELEC, 4/20/06) - created as a result of  |
|          | updates to OSHA requirements and revision of the NFPA 70E |
|          | standard.                                                 |
|          |                                                           |
|          | Rev\'d: F&O Directorate ES&H Targets & Objectives for     |
|          | FY2006 (Last Revised 6/9/06) - Form shows the documented  |
|          | O&Ts and EMPs in one place. Objectives include:           |
|          | Continually Improve with 3 Targets, Reduce OHS Hazards &  |
|          | Risks with 2 targets, \"Legal and Other Requirements\"    |
|          | with 6 targets (OFI-1 - Objective statement is unclear,   |
|          | and targets do not clearly define measureable, specific   |
|          | goals to achieve performance improvements - several state |
|          | that the target is \"compliance\" with the relevant       |
|          | laws/regulations/standards); Conserve Resources with 3    |
|          | targets; Pollution Prevention with 3 targets and Maintain |
|          | Operational Controls with 6 targets (OFI-1).              |
|          |                                                           |
|          | Rev\'d: Monthly Project Status Report for Project 10585 - |
|          | Storm Outfall 002 Improvements (one of the Legal & Other  |
|          | Reqts targets). Monthly Flash Reports - showing results   |
|          | for monitoring ESSH Objectives/Targets completion -       |
|          | includes DART and Recordable Case Rates - in yellow and   |
|          | red status respectively. Rev\'d: Plant Engineering Injury |
|          | Case History - shows good trends for DART and             |
|          | Recordables, but the numbers are still above goals in     |
|          | both cases. Actions being taken - instituted the STOP     |
|          | program, more toolbox talks on specific safety/health     |
|          | issues (Rev\'d records from the training activities),     |
|          | using information from lessons learned to improve H&S     |
|          | actions, interim Director and Assisstant Secretary of DOE |
|          | both made statements to the Lab regarding H&S             |
|          | performance, Fact Sheets on specific H&S topics have been |
|          | released (Rev\'d: Fact Sheet on Chiggers).                |
|          |                                                           |
|          | Under Poll\'n Prev\'n - F&O proposed two P2 projects for  |
|          | this year, and received funding for one (Electronics      |
|          | Recycling) - implementation is in process.                |
|          |                                                           |
|          | New Food Service Contractor started work earlier this     |
|          | year - did not have any effect or cause any changes to    |
|          | aspects/hazards/JRA information - the employees remained  |
|          | the same, only upper management changed.                  |
|          |                                                           |
|          | Job Assessment Forms (JAFs) - Used to identify potential  |
|          | health/medical/safety issues of an individual\'s job so   |
|          | that medical monitoring can be established appropriately. |
|          |                                                           |
|          | Rev\'d: Process Assessments for Coolant Recycling         |
|          | Operations and Central Steam Facility (both dated         |
|          | 12/05) - former shows indication of \"review with no      |
|          | change\".                                                 |
|          |                                                           |
|          | Operations areas assessed - Motor Pool (Staff Services    |
|          | Division), Heavy Equipment Mechanic Operations (HEMO) and |
|          | Central Fabrications Machine Shop. See attached           |
|          | hand-written notes for additional evidence collected from |
|          | these operational areas.                                  |
|          |                                                           |
|          | Interviewees: Environmental Compliance Representative     |
|          | (ECR), P2 Coordinator/ECR, Asst. Manager Operations &     |
|          | Environment (EMS Coordinator), Industrial Hygiene         |
|          | Representative, F&O Intern, F&O ESTQ Manager, Project     |
|          | Coordinator                                               |
+----------+-----------------------------------------------------------+
| **Envir  | **Identify process inputs and describe their interactions |
| onmental | with the process:**                                       |
| and      |                                                           |
| Waste    | EWMSD Self-Assessment Plan FY2006 (Rev. 2, 6/14/06), FY06 |
| Ma       | ES&H Objectives & Targets (Rev. 1, 3/29/06) - many inputs |
| nagement | identified in the discussion below as well; EM-SOP-300    |
| Services | Measuring Depth to Water in Groundwater Surveillance      |
| Division | Wells (Rev. 2, 7/27/05); JRA-Liquid Phase Activated       |
| (        | Carbon Change Out (Rev. 1, 6/7/05); JRA-EM SOP 300 Series |
| EWMSD)** | (Rev. 0, 6/7/05); FRA-Bldg 870 Mixed Waste Building       |
|          | (6/7/05); JRA-Storage of Drummed Waste (Rev. 1, 7/25/05); |
| **O&E -  | WM-SOP-425 Hazardous Waste Management Operations at the   |
| 4.3.1,   | Waste Management Facility (Rev. 8, 1/2/05)                |
| 4.3.3,   |                                                           |
| 4.4.1,   | **Process Objective(s)**:                                 |
| 4.4.2,   |                                                           |
| 4.4.4,   | Supply environmental and waste management services to the |
| 4.4.6,   | Lab; manage all environmental compliance activities for   |
| 4.5.1;   | the Lab (including EMS, Pollution Prevention, Performance |
| O-4.3.4, | Track, etc.) - in order to support Laboratory core        |
| 4.5.2,   | research functions.                                       |
| 4.5.4;   |                                                           |
| E-4.5.3, | **Describe whether the process is effective or not:**     |
| 4.5.5**  |                                                           |
|          | EWMSD continues to improve the mechanics of their EHS MS. |
|          | They have effectively defined and implemented processes   |
|          | for the identification and control of EHS hazards, risks, |
|          | aspects and impacts, and for finding opportunities to     |
|          | improve their processes at all levels of the              |
|          | organization. The group has become particularly adept at  |
|          | responding to and solving potential non-compliant         |
|          | situations in an efficient and effective manner (Opacity  |
|          | compliance issue). EWMSD also continues to be an          |
|          | excellent source of EHS expertise for the entire Lab.     |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | Changes made to the Self-Assessment Plan - more           |
|          | organizationally than anything else. The Plan is set up   |
|          | in a manner that shows the objectives, targets, means,    |
|          | time-frames and responsible parties in a single table.    |
|          | Inputs to the planning activity are identified as those   |
|          | required in the two Standards (Clauses 4.3.3), along with |
|          | several others important to the Lab activities. Included  |
|          | in the Plan discussion portions are definitions of        |
|          | responsibilities for Division Manager, EWMS               |
|          | Self-Assessment Coordinator, and some others. The Plan    |
|          | also defines the types and schedules for various          |
|          | assessments that will occur through the year.             |
|          |                                                           |
|          | This Division administers and manages the P2 program for  |
|          | the Lab - 7 P2 projects were approved for the current FY. |
|          | Internal evaluation of the effectiveness occurs in the    |
|          | 4^th^ quarter. As part of the Site Environmental Report   |
|          | (SER), EWMSD reports on the effects (positive or          |
|          | negative, including financial benefits) of the various    |
|          | projects - Rev\'d: Data for the 2005 SER (in process). 13 |
|          | projects were funded last year - proposals include the    |
|          | details on EHS benefits from completion of the projects;  |
|          | there is also consideration of the possible resource      |
|          | conservation aspects of the projects (such as energy use  |
|          | reductions). The top ranked project last year was         |
|          | establishment of aerosol can storage, management and      |
|          | disposal stations (original proposal submitted from NSLS, |
|          | but it is making it around the Lab into other areas).     |
|          | Annual savings (CY basis) is calculated taking into       |
|          | account the results from the current year projects and    |
|          | any ongoing savings results from prior year projects -    |
|          | data collected by ECRs and others from EWMSD.             |
|          |                                                           |
|          | EWMSD Groups: Groundwater Group - O&M of 16 GW treatment  |
|          | systems; Groundwater Support - Reporting activities;      |
|          | Regulatory Compliance Group - SMEs to the line,           |
|          | conducting inspections, reporting, regulatory compliance  |
|          | reporting, prepare investigation plans and reporting for  |
|          | newly discovered contaminated sites; Field Services -     |
|          | ECRs and Waste Management Reps (only 2 currently), field  |
|          | sampling teams (monitoring and cleanup support), P2 and   |
|          | EMS; Waste Management - Operate waste management          |
|          | facilities (hazardous, water, radioactive, mixed waste),  |
|          | surveillance and maintenance on Rad-facilities,           |
|          | respirator cleaning for the Site.                         |
|          |                                                           |
|          | Rev\'d: Aspects spreadsheet (last updated 6/16/06) -      |
|          | changes since last audit included removal and updates of  |
|          | SOPs in Waste Management, but the elimination of SOPs did |
|          | not change the list of significant aspects that are found |
|          | associated with their activities, products and services.  |
|          | Other changes that occurred did not substantially affect  |
|          | the aspects information or their significance, but the    |
|          | review allowed for adjustments to how the information was |
|          | accounted for.                                            |
|          |                                                           |
|          | No changes to FRAs since last visit. Reviews of JRAs and  |
|          | FRAs took place in March and early April, some changes    |
|          | were identified, but they have not been applied to the    |
|          | existing documents yet (in process). Procedure requires   |
|          | 1/3^rd^ of the FRAs and JRAs reviewed annually.           |
|          |                                                           |
|          | Division Level O&Ts/EMPs included in the Self-Assessment  |
|          | Plan (Rev\'d) - Several O&Ts set for both E and HS -      |
|          | Examples include - Reducing accidents, injuries and       |
|          | occurrences (Obj.) through better housekeeping (Target);  |
|          | meet EPA Performance Track goals (obj), reduce mercury    |
|          | inventory by 80% by CYE 2006 (target); improve compliance |
|          | in specified areas (obj.), reduce \# of Title V opacity   |
|          | excursions (target) and reduce \# of SPDES violations.    |
|          | (See OFI-1)                                               |
|          |                                                           |
|          | Rev\'d: Status report for O&Ts (5/3/06) - shows that      |
|          | \"Housekeeping Day\" was declared for April 17th. Have    |
|          | not received any data yet, probably will be included in   |
|          | next quarterly report. Rev\'d: EWMSD OSH Management       |
|          | Review presentation (9/19/05) - Includes a chart on the   |
|          | Tier 1 Inspections Top Seven Categories (Lab level) and   |
|          | discusses the Division level results, which includes      |
|          | identification of the housekeeping issue.                 |
|          |                                                           |
|          | Current FY - no DARTs, no Recordables, no Lost Times, no  |
|          | First Aids, no Traffic Violations through the first two   |
|          | quarters (included in the SA Plan summary and in the      |
|          | monthly ESSH Summary Newsletter \[June 2006 issue\]       |
|          | released by the ESH&Q Director). Contractors are now      |
|          | being included in the overall, Lab-wide counts now        |
|          | (change since last year, mandated by DOE).                |
|          |                                                           |
|          | Mercury reduction project - as of 12/05 a 38% reduction   |
|          | had been achieved from original estimated amount present  |
|          | at the Lab. Removed more than 400 thermometers from       |
|          | service so far. Got rid of several Toppler Pumps, which   |
|          | contain 87 lbs. Hg each.                                  |
|          |                                                           |
|          | Opacity excursion issue became one as a result of a       |
|          | change in the interpretation of the \"maintenance         |
|          | activity\" definition by the regulator. This resulted in  |
|          | two NOVs issued in December, but they did not receive the |
|          | actual \"letter\" in May. Recorded and tracked the        |
|          | incident in Family ATS (Rev\'d: FATS #3058.1). Due to     |
|          | changes in operations and process - there have been       |
|          | nearly three quarters with no opacity excursions. Looks   |
|          | like a good response was created and achieved.            |
|          | \[**NOTEWORTHY**\]                                        |
|          |                                                           |
|          | Review of various sewage treatment plant operations have  |
|          | occurred to address the SPDES violation issues. Changes   |
|          | to processes are being applied as a result, but the       |
|          | results are not complete as for reduction in excursions   |
|          | at this point. Non-compliance reporting for these issues  |
|          | is included and tracked through the monthly Discharge     |
|          | Monitoring Reports (DMRs).                                |
|          |                                                           |
|          | Ea. person has a job training assessment, which           |
|          | establishes their training needs, and the activities are  |
|          | tracked through BTMS. Rev\'d: Status report for           |
|          | Environmental Services, shows that 98% of required        |
|          | training for all members of the ES group has been         |
|          | completed. Performance Appraisals completed annually to   |
|          | evaluate the competence of individuals;                   |
|          | supervisors/managers also conduct informal field          |
|          | observations of employees doing their work and provide a  |
|          | brief report.                                             |
|          |                                                           |
|          | Everyone is appraised against their R2A2s, while some     |
|          | staff also have goals that they are evaluated against and |
|          | for. At a minimum, everyone has an EH&S goal, diversity   |
|          | goal (managers), functional goal, quality & timeliness    |
|          | goal, and customer service goal. EHS goals vary by        |
|          | employee - can be very broad or very specific. Often      |
|          | aligns with the PEMP, objectives/targets, Self-Assessment |
|          | Plan goals, etc. Through routine staff meetings, some     |
|          | ensuring of competence occurs through messages provided   |
|          | such as H&S topics, included in all meetings, and then    |
|          | specific information covered.                             |
|          |                                                           |
|          | EWMSD was included as part of the Lab-wide internal E/OSH |
|          | MS Audit. The EMS Lead was someone from BNL, and the team |
|          | is made up of people from other DOE Labs. The OSH Audit   |
|          | team consisted of people from the difference groups       |
|          | included in the Phase 1 & 2 scopes. Rev\'d: Final Report  |
|          | 2006 Internal Assessment of the BNL EMS (4/11/06) and     |
|          | 2006 Internal Audit of the OHS Management System for      |
|          | OHSAS 18001 Phase 1 & 2 Organizations (4/28/06). Both     |
|          | audits appear to have been very well done from the        |
|          | planning stage through completion. Audits include         |
|          | follow-up on CA/PAs from previous audits, and these are   |
|          | documented in the Reports. Findings of positives and      |
|          | non-conformities/OFIs are clearly stated and supported by |
|          | evidence. Recording of the evidence is completed using    |
|          | element-based checklists, which also include some of the  |
|          | SBMS requirements. All EMS audit findings are recorded in |
|          | the Lab-level ATS, while for OHSAS each group audited     |
|          | recorded the findings in their individual Family ATS      |
|          | databases.                                                |
|          |                                                           |
|          | For field services activities, there are often Operations |
|          | Manuals that are available at the work locations that     |
|          | include procedures applicable to the work. Many of the    |
|          | field activities are completed by contractors.            |
|          |                                                           |
|          | Visited following operational areas: Field Services - GW  |
|          | Treatment Plant; Mixed Waste Management Facility. See     |
|          | handwritten notes for evidence and interviewees.          |
|          |                                                           |
|          | Interviewees: EWMSD Manager, Deputy Division/Compliance   |
|          | Manager-Env. Services, Deputy Division Manager-Waste      |
|          | Management, EMS Rep./ECR, EMS Program Manager/            |
|          | Supv.-Field Services, Project Engineer/OHSAS Rep.         |
+----------+-----------------------------------------------------------+
| **Coll   | **Identify process inputs and describe their interactions |
| ider-Acc | with the process:**                                       |
| elerator |                                                           |
| and      | C-A OPM 1.26 C-AD Standards for Disciplinary Action (Rev. |
| Superco  | 00, 5/9/06); JRA 13a-06 MCR Watches, CAS Watch, Tandem    |
| nducting | Watch, Cryogenics Watch, Siemens Watch (2/16/06); FRA     |
| Magnet   | 17-06 C-AD Area Wide Building 912/U-Line/g-2 (5/24/06);   |
| De       | OPM 14.3.2 EMS Training for Bean Line Construction &      |
| partment | Disassembly (Rev. 1, 12/2/05); OPM 1.4.4.c Temporary      |
| (CA      | Procedure Training Sign-Off Sheet (Rev. 7, 12/30/05); OPM |
| D/SMD)** | 1.5.b Safety Information for Manupulation of Sub-Range B  |
|          | Energized Circuits (Rev. 0, 8/8/03); OPM 1.5 Electrical   |
| **       | Safety Implementation Plan (Rev. 12, 3/27/06); OPM 2.2    |
| O&E-4.3, | Operating Practices (Rev. 7, 6/13/06); OPM 1.12 Training  |
| 4.4.1,   | & Qualification Plan (Rev. 5, 2/22/06); OPM 1.17 C-A      |
| 4.4.2,   | Hearing Conservation Program (Rev. 1, 3/22/05); OPM       |
| 4.4.3,   | 14.6.1 Operational Control Form for Electronic Assembly   |
| 4.4.4,   | Operations (Rev. 1, 3/17/06); OPM 1.10.2.c C-A and SMD    |
| 4.4.6,   | EMS Document Flow-Down Matrix (Rev. 7, 4/29/06); SMD OPM  |
| 4.5.1,   | 8.1.1.29 Operation of Short Coil Curing Press (Rev. 1,    |
| 4.6;     | 2/17/03); OPM 1.10.4 C-A & SMD OSH Management System      |
| O-4.3.4, | Program Description (Rev. 4, 6/13/06); SMD OPM 2.12 Work  |
| 4.5.2,   | Planning and Control System (Rev. 3, 6/16/05)             |
| 4.5.4;   |                                                           |
| E-4.5.3, | **Process Objective(s)**:                                 |
| 4.5.5**  |                                                           |
|          | Safety is an overarching priority for C-AD/SMD - overall  |
|          | goal of 0 injuries stands on a continuous basis (measured |
|          | annually), other objectives/targets noted in discussions  |
|          | below.                                                    |
|          |                                                           |
|          | **Describe whether the process is effective or not:**     |
|          |                                                           |
|          | C-AD and SMD both have been applying the principles and   |
|          | practices of the EMS and to a lesser extent the OSHMS for |
|          | a long time at this point. As a result, their systems are |
|          | indicating a generally advanced level of maturity. This   |
|          | is evidenced by how well the staff in these two groups    |
|          | displayed their understanding of the requirements of the  |
|          | EHS MS as they related to their work, and with the        |
|          | improvements made to the programmatic aspects of the      |
|          | systems themselves. With further improvements to the      |
|          | structuring and wording of objectives and targets, the    |
|          | C-AD and SMD systems should provide continued excellent   |
|          | EHS performance as they progress towards further          |
|          | integration with ongoing business/operational practices.  |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | OSH - Working to establish program to mimic best safety   |
|          | practices found among companies around the country. 15    |
|          | Practices identified, and have conducted survey sessions  |
|          | with staff to determine gaps; developed \"10              |
|          | Commandments\" of Safety for C-AD/SMD (OPM 1.26).         |
|          | Establishes the range of \"offenses\" and their           |
|          | categorization relative to safety, security and a couple  |
|          | of other areas. Helps to define the items that make-up    |
|          | causes for disciplinary actions included in the Subject   |
|          | Area of the same name. This was adopted only after        |
|          | allowing for full staff involvement (feedback, and a      |
|          | roll-out held to go over the rules). Just released in     |
|          | May - too soon to tell if it has had an effect on H&S     |
|          | statistics. This represents one of the 15 practices.      |
|          | Others include worker involvement, safety meetings,       |
|          | hiring practices, and 11 others. Trying to get these      |
|          | kinds of practices adopted Lab-wide as well.              |
|          | \[**NOTEWORTHY\]**                                        |
|          |                                                           |
|          | Spent time on trying to incorporate \"behavioral safety\" |
|          | principles into the Department.                           |
|          |                                                           |
|          | One P2 Project funded through the Lab program this year - |
|          | purchased and implemented use of a propane tank           |
|          | de-valving device. Allows for the tanks to be recycled    |
|          | instead of trashed - saved both money and decreases       |
|          | environmental impacts. They have only received the device |
|          | recently, so it is just beginning to be used. Expect      |
|          | payback in about a month or less.                         |
|          |                                                           |
|          | Replaced PCB-Capacitors in LINAC-partial project          |
|          | completion, more will be done this year.                  |
|          |                                                           |
|          | Rev\'d: SMD Division Overview (Management Review          |
|          | presentation; 2/8/06), Minutes - SMD Self-Assessment      |
|          | (2/8/06) - No evidence of discussion of external          |
|          | communications/ complaints, follow-up actions from        |
|          | previous management reviews, all other inputs and outputs |
|          | are covered adequately (**NC-EMS**).                      |
|          |                                                           |
|          | Rev\'d: Management Review of OSH/E and Self-Assessment    |
|          | Management Systems-C-AD (9/14/05); Minutes from Senior    |
|          | Management Evaluation (9/14/05); C-AD Record of Decision  |
|          | from Senior Management Evaluation (9/14/05) - Shows       |
|          | information on Worker Involvement (C-AD tracks at this    |
|          | point because of a DOE comment in FY05).                  |
|          |                                                           |
|          | Records of decision - items are incorporated into OPM     |
|          | 14.1 C-AD & SMD Environmental Management Program (Rev. 1, |
|          | 4/22/06) and 14.30 C-AD/SMD Management Plan for           |
|          | Accelerators, Experimental Areas, Shops and/or Offices    |
|          | (Rev. 2, 5/19/06) as EHS Objectives/Targets - These two   |
|          | documents include the O/Ts/EMPs for both systems and both |
|          | groups. All ROD items are documented and tracked in ATS.  |
|          | **\[NOTEWORTHY\]**                                        |
|          |                                                           |
|          | Rev\'d: C-AD/SMD EMS & OHSAS Internal Audit Report        |
|          | (6/8/06) - 2 NCs, 4 Observations, 1 OFI - all findings    |
|          | recorded and tracked in the Family ATS (#3237).           |
|          |                                                           |
|          | Rev\'d: Aspects/Impacts, reviewed annually - no changes   |
|          | in most recent review (2/17/06 - Aspects Matrix for       |
|          | C-AD/SMD record). Rev\'d: FRAs and JRAs for C-AD/SMD -    |
|          | All were revised or added in 2006 - currently required to |
|          | review 100% per year (moving to Lab requirement of        |
|          | 1/3^rd^ per year). Additions: FRA 30-06 General Walking   |
|          | and Working Surfaces and JRA 31-06 RF Work. All other     |
|          | JRAs and FRAs were revised in some fashion.               |
|          |                                                           |
|          | Every person/employee - evaluated based on the work they  |
|          | do for applicable training. Training assigned through     |
|          | BTMS - managed by the Training Manager in consultation    |
|          | with Supervisors. Tracked in BTMS; notifications provided |
|          | for re-training. T-Manager responds throughout the year   |
|          | regarding completion of training/re-training, developed   |
|          | the Department-specific training requirements, provides   |
|          | training for C-A user community (primarily EHS focus in   |
|          | these sessions). Effectiveness evaluations - annual       |
|          | meetings with users for feedback collection on training   |
|          | effectiveness; testing occurs during training sessions to |
|          | evaluate understanding of the training information;       |
|          | analysis of non-conforming situations, may include        |
|          | revisions to training activities and/or requirements.     |
|          | Fielding phone calls from C-A/SM staff and assuring they  |
|          | are put into contact with appropriate SMEs. \>95% of      |
|          | training is recorded in BTMS; occasionally hold seminars  |
|          | that includes recording attendance for EHS activities.    |
|          | Maintains a list of the off-normal training sessions that |
|          | have occurred in past year (informal record); attendance  |
|          | sheets generated as a record of the different activities. |
|          | Range of topics went from the very broad (such as EHS MS  |
|          | Overviews) to very focused (electrical safety training    |
|          | topics). Contractors who work in C-A are provided C-A     |
|          | access training and are involved in work planning         |
|          | activities. Other training sessions for these workers may |
|          | occur depending on the type of work that they conduct.    |
|          |                                                           |
|          | Rev\'d: Evidence of implementation of                     |
|          | corrective/preventive actions for findings **RAP2-OSH-02  |
|          | and -03** from OHSAS Reg. Audit in Nov. 2005 - **BOTH     |
|          | CLOSED**!                                                 |
|          |                                                           |
|          | Visited operations areas -- see attached handwritten      |
|          | notes for audit evidence and interviewees.                |
|          |                                                           |
|          | Interviewees: Associate Chair-ESSHQ/OSH & EMS Rep.,       |
|          | Division Head-ESSH, QA Manager-C-AD, Environmental        |
|          | Coordinator-C-AD, ECR, ESH Coordinator-SMD, QA            |
|          | Manager-SMD, C-AD Training Manager/Training Coordinator   |
+----------+-----------------------------------------------------------+
| *        | **Identify process inputs and describe their interactions |
| *Energy, | with the process:**                                       |
| Env      |                                                           |
| ironment | EENS Organization Chart (10/3/05), EENS Research          |
| &        | Operations Office Org. Chart (1/3/06), Environmental      |
| National | Sciences Department Org. Chart (10/11/05), Energy         |
| Security | Sciences & Technology Department Org Chart (10/05?),      |
| (EENS)   | Nonproliferation & National Security Department Org Chart |
| Direc    | (4/24/06)                                                 |
| torate - |                                                           |
| EMS      | **Process Objective(s)**:                                 |
| Only**   |                                                           |
|          | Ensure that planning and implementation relative to       |
| **4.3.1, | environmental aspects is completed so that research       |
| 4.3.3,   | activities proceed with minimal impacts.                  |
| 4.4.1,   |                                                           |
| 4.4.2,   | **Describe whether the process is effective or not:**     |
| 4.4.4,   |                                                           |
| 4.4.6,   | The work occurring within the EENS Directorate is         |
| 4.5.1,   | directly related to environmental management in many      |
| 4.5.3,   | situations. As a result, the staff and researchers appear |
| 4.5.5,   | to be particularly sensitive to the potential effects     |
| 4.6**    | that their work could have on the environment in the      |
|          | absence of effective controls. Therefore, through the     |
|          | Lab-level Experimental Safety Review (ESR) process and    |
|          | procedures, EENS has developed an effective means for     |
|          | identifying and establishing good control of those        |
|          | significant environmental aspects associated with the     |
|          | work that occurs. They have also established an effective |
|          | set of supporting activities that supplements the         |
|          | controls and provides for an overall set of good          |
|          | environmental management practices.                       |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | Primary focus areas in the Directorate - Energy-related   |
|          | research, Environmental Quality technologies and          |
|          | methodologies, Nonproliferation of Nuclear Materials.     |
|          | Environmental research includes work on effects of        |
|          | Greenhouse Gases on the environment among many other      |
|          | activities. Much of the work in EENS is used in actual    |
|          | applications as opposed to pure research.                 |
|          |                                                           |
|          | Research Operations group provides support to the         |
|          | researchers and departments - includes EHS training,      |
|          | quality and facility management.                          |
|          |                                                           |
|          | Rev\'d: EENS Aspect/Impact Matrix - EENS Significant      |
|          | Aspects, Rev. 14, 4/26/06 - covers entire Directorate.    |
|          | Aspects/impacts associated with specific experiments are  |
|          | identified in the Experimental Safety Reviews (ESRs).     |
|          | Notes changes on second page that correspond with the     |
|          | revision \[**NOTEWORTHY\]**.                              |
|          |                                                           |
|          | Rev\'d: Objectives/Targets/Programs - recorded on         |
|          | \"Environmental Management Program\" forms. 3             |
|          | Objectives/multiple targets in two subject areas -        |
|          | Compliance and Conformance and Pollution Prevention (see  |
|          | **OFI-1** for the difficulty with this issue). EENS       |
|          | proposed 2 P2 projects this year, but neither was funded  |
|          | through the P2 Program; they did not self-fund the        |
|          | programs.                                                 |
|          |                                                           |
|          | Rev\'d: Monitoring data/information relative to progress  |
|          | on achievement of the objectives/targets (O/Ts) including |
|          | records regarding spill kit enhancements; Tier 1 Tracking |
|          | Summary Summary 7/05-Present (6/19/06); Tier 1 Findings   |
|          | Status Report (as of 6/21/06), record of JTAs completed   |
|          | as of 6/1/06 - overall 98% for employees and 99% for      |
|          | guests/contractors; Examples of training/communications   |
|          | activities that included EMS topics or items from March,  |
|          | June, May, February 2006, all-hands meeting scheduled for |
|          | July. These appear to show progress toward the stated     |
|          | objectives, but the vagueness of the O/Ts makes it        |
|          | difficult to determine.                                   |
|          |                                                           |
|          | Rev\'d: EENS Environmental Management Review Meeting      |
|          | Minutes (11/14/05), includes presentation information.    |
|          | Appears that all required inputs were covered during the  |
|          | Review, based on the Presentation and Minutes; outcomes   |
|          | also appear to be conformant with Standard requirements.  |
|          | The action items provide general direction for EENS EMS   |
|          | improvements. Most of the items are incorporated into the |
|          | O/Ts, while others may be handled through other means     |
|          | (assessment records, for example).                        |
|          |                                                           |
|          | Rev\'d: Final Report 2006 Internal Assessment of the BNL  |
|          | EMS (4/11/06) - EENS was included in the scope of the     |
|          | Lab-wide audit; they did not do a separate internal EMS   |
|          | audit for their Directorate only. The received no NCs,    |
|          | Observations or OFIs, and one \"Noteworthy Practice\".    |
|          | They conduct or participate in more focussed area/scope   |
|          | assessments including one for RCRA/Rad Waste compliance   |
|          | (EENS only), topical assessments (conducted by EWMSD,     |
|          | 12/05) - both of these assessments were generally         |
|          | compliance focussed, although part of the evaluation      |
|          | included review for conformance to SBMS Subject Area      |
|          | (specific) requirements (such as Work Planning).          |
|          |                                                           |
|          | Findings from internal audits are recorded/tracked in     |
|          | ATS; findings from EENS assessments are recorded/tracked  |
|          | in Outlook Task module (MS Outlook software). Rev\'d:     |
|          | Outlook Task files including EENS assessment findings.    |
|          | Sources of NCs include Tier 1 Inspections, general        |
|          | walk-throughs, topical audits (EHS), internal EMS audits, |
|          | incidents/occurrences, S&H and EMS Committees, employee   |
|          | complaints. Tier 1 findings are recorded in a Tier 1      |
|          | database. The different databases allow for various       |
|          | levels of ability to track and trend the information      |
|          | collected. Rev\'d: Trending charts for Tier 1 Findings    |
|          | Data (Qtrs 1-3, CY05, 11/05). These data are used         |
|          | comparatively (Year over Year), determine challenge       |
|          | areas, determine if improvements are being achieved and   |
|          | for development of action items. SOme of the data are     |
|          | used as contributions to establish O/Ts.                  |
|          |                                                           |
|          | Review of implementation of corrective action from last   |
|          | audit - **BNL-SA4-EMS-07** - Rev\'d revised \"90-Day      |
|          | Hazardous Waste Accumulation Area Weekly Inspection       |
|          | Checklist\" (9/05) - Added the information that was being |
|          | included by the inspectors previously as actual           |
|          | inspection \"nodes\" for ongoing work. **NC CLOSED**      |
|          |                                                           |
|          | Visited operational areas in Buildings 490A, 526, and 830 |
|          | -- see handwritten notes for audit evidence and           |
|          | interviewees.                                             |
|          |                                                           |
|          | Interviewees: Special Asst. to ALD/Acting                 |
|          | Manager-Research Opperations, Deputy Manager-Reasearch    |
|          | Operations/Co-EMS Representative, Admin. Asst., ECR       |
+----------+-----------------------------------------------------------+
| **Envir  | **Identify process inputs and describe their interactions |
| onmental | with the process:**                                       |
| Res      |                                                           |
| toration | ERP-OPM 4.6 Environmental Management Program for the ERP  |
| Projects | Directorate (Rev. 0, 1/06); Brookhaven Environmental      |
| Dir      | Management Completion Project (BEMCP) Life-Cycle Baseline |
| ectorate | ("The Baseline") -- BGRR D&D PMB Work Packages and        |
| (ERP)**  | Supporting Documentation (Rev. 7, Draft C, Volume III,    |
|          | 4/12/06); BEMCP Life-Cycle Baseline -- HFBR D&D PMB Work  |
| **EMS    | Packages and Supporting Documentation (Rev. 7, Draft A,   |
| Only --  | Volume III, 3/24/06); EPR-OPM 4.1 Environmental, Safety   |
| 4.3.1,   | and Health Plan (ESHP; Rev. 0, 5/06); BSA/DOE Contract;   |
| 4.3.3,   | ERP-OPM 4.4 Summary of Significant Environmental Aspects  |
| 4.4.1,   | (Rev. 0, 1/12/06); ERP-OPM 3.2 Work Planning & Control    |
| 4.4.2,   | (Rev. 0, 5/4/06)                                          |
| 4.4.4,   |                                                           |
| 4.4.6,   | **Process Objective(s)**:                                 |
| 4.5.1,   |                                                           |
| 4.5.3,   | To complete the Brookhaven Environmental Management       |
| 4.5.5,   | Completion Project (BEMCP) -- including the BGRR, HFBR    |
| 4.6**    | (Hi-Flux Beam Reactor) Decommissioning Projects --        |
|          | according to the Baseline approved by DOE.                |
|          |                                                           |
|          | **Describe whether the process is effective or not:**     |
|          |                                                           |
|          | ERP has developed a very well-designed management system  |
|          | that incorporates many of the positive aspects of nuclear |
|          | industry regulatory requirements. This is evidenced by    |
|          | their use of a very detailed approach to documenting all  |
|          | of the work practices associated with specific project    |
|          | activities, a very detailed approach to responding to and |
|          | corrective/preventing non-conforming or abnormal          |
|          | conditions, and an overall attention to details           |
|          | particularly as they relate to environmental issues       |
|          | associated with their work. The framework provided by the |
|          | ISO 14001-based EMS is a supplement to their overall      |
|          | activities and practices, and lends further integrity and |
|          | quality to their work.                                    |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | Brookhaven Graphite Research Reactor (BGRR) -- largest of |
|          | the restoration projects. The Baseline (overall project   |
|          | plan) governs the work that occurs at the BGRR. The       |
|          | nature of the projects is such that they are purposely    |
|          | generating hazardous and/or radioactive wastes. Within    |
|          | this context, however, they are looking at ways to        |
|          | minimize the wastes generated.                            |
|          |                                                           |
|          | Baseline is divided into work packages (WPs) covering     |
|          | different aspects of the activities that will occur to    |
|          | complete the BEMCP. Currently in a planning mode for all  |
|          | project work -- trying to get contracts in place,         |
|          | approvals for work and non-contaminated D&D work. Waiting |
|          | for completion of a ROD for HFBR work. Each WP has an     |
|          | assigned WP Manager -- R2A2 assigned to WP Managers,      |
|          | which describes their roles/responsibilities.             |
|          | Roles/Responsibilities for particular members of project  |
|          | teams are also defined in R2A2s as well as in various     |
|          | portions of the Baseline and associated documents (such   |
|          | as the ESHP). Rev'd: R2A2 for Work Package Manager        |
|          | (12/05) -- includes several requirements relevant to      |
|          | environmental management. R2A2s are created for the       |
|          | individual (by name and life number) as well as for the   |
|          | positions they are fulfilling. With the updated R2A2s,    |
|          | ERP is including the major contractors as well -- this is |
|          | different from what occurs in other groups. This is       |
|          | because their functions are too critical to the           |
|          | operations.                                               |
|          |                                                           |
|          | Rev'd: Aspect/Impact Tables for BGRR & HFBR (1/12/06) --  |
|          | Substantial changes to the information with the shifting  |
|          | of work to LTRA. All of the liquid discharges went to     |
|          | LTRA, so that is no longer included in the ERP aspects    |
|          | information. The shift also resulted in the loss of many  |
|          | activities, products, services that have aspects          |
|          | associated (liquid discharges and others). After the ROD  |
|          | is approved/signed, they will be reviewing and            |
|          | reevaluating some of the aspects/impacts information to   |
|          | account for any modifications to the projects that may    |
|          | occur as a result of the ROD. Within the ESHP, they have  |
|          | identified the aspects/impacts according to activities,   |
|          | products, services involved with each of the Baseline     |
|          | WPs.                                                      |
|          |                                                           |
|          | Per Work Planning & Control procedures -- all work,       |
|          | except those in S&M plans, is conducted under work        |
|          | permits. Work review teams are established for review of  |
|          | the work permits/packages, and the ECR is a member of all |
|          | teams. Therefore, all work is reviewed for environmental  |
|          | issues prior to initiation. Work instructions or          |
|          | procedures are generated for all work activities included |
|          | in a permit -- intent is to clearly define the scope of   |
|          | the work included under a particular permit               |
|          | \[**NOTEWORTHY**\]. Details are provided to a level that  |
|          | helps the worker to understand what needs to be done as   |
|          | opposed to necessarily directing each action.             |
|          |                                                           |
|          | Weekly Meetings -- go over Lessons Learned as part of the |
|          | discussions, environmental and radiation topics also on   |
|          | the agenda. Rev'd: Weekly Safety Meeting Agenda for       |
|          | 6/19/06; event is a recorded activity (records            |
|          | attendees). Contractors generally receive this same       |
|          | information through their daily tailgate meetings.        |
|          |                                                           |
|          | Rev'd: Examples of Work Permits/Packages - #BGRR-WP-281   |
|          | Remove Water from Below-Ground Duct (1/19/06) and         |
|          | BGRR-S&M-003 Entry Below Ground Duct to Inspect Water     |
|          | Level Monitoring Instrumentation in N. Cooler Drain       |
|          | Trough (3/31/06). Work Instructions created --            |
|          | BGRR-WP-281 Remove Water from Below-Ground Ducts          |
|          | (1/18/06); BGRR-S&M-003 Entry Below Ground Duct to        |
|          | Inspect Water Level Monitoring Instrumentation (3/27/06). |
|          | All workers sign the Permit (minimum) that indicates they |
|          | have reviewed and been trained on the work activities and |
|          | the work instructions/procedures for that particular job. |
|          | Workers cannot work until this action is completed. All   |
|          | permits are linked in some way to the Baseline, a         |
|          | particular WP in that document.                           |
|          |                                                           |
|          | ERP-OPM 4.2 Guidance for Implementation of an EMS (Rev.   |
|          | 0, 1/11/06), Section 3.4 includes the Objectives/Targets  |
|          | (O/Ts) and Programs for ERP. The overarching O/T is the   |
|          | completion of the BEMCP in accordance with the Baseline   |
|          | and associated schedule(s). Section 3.5 defines           |
|          | responsibilities for people involved in the projects and  |
|          | how they are expected to help meet the goal. ERP-OPM 4.5  |
|          | Operational Control Form for ERP (OCF; Rev. 0, 1/12/06)   |
|          | includes additional responsibilities for project staff    |
|          | relative to achievement of the overall O/T. The OCF also  |
|          | summarizes the types of controls that may be applied to   |
|          | project operations in order to control significant        |
|          | environmental aspects areas. Baseline requires ongoing    |
|          | monitoring for completion of the schedules and therefore, |
|          | the O/Ts. Completion of the documentation and             |
|          | program/project plans is part of the tasks included in    |
|          | the schedules, which defines the means and time-frames    |
|          | for achievement of the O/T. Weekly meetings occur to      |
|          | review schedule progress, which also provides the         |
|          | indication of progress toward meeting the O/Ts. OCF       |
|          | Attachment 1 provides a summary table of specific         |
|          | operational controls for the various project activities.  |
|          |                                                           |
|          | ERP-OPM 2.5 Self-Assessment Plan FY06 (Draft -- Final     |
|          | version is waiting for Director's signature).             |
|          | Participated in the Lab-wide Internal Audit, and separate |
|          | EMS Management Review (which was then rolled-up into the  |
|          | Lab-wide review).                                         |
|          |                                                           |
|          | Rev'd: Management Review Presentation for ERP (10/26/05)  |
|          | -- indicates review inputs conform to requirements of ISO |
|          | 14001:2004. Meeting minutes were generated (Rev'd), but   |
|          | have been rescinded because of a finding from the         |
|          | Internal Audit, which indicated that they were not        |
|          | prepared well (I agree with this finding/conclusion) --   |
|          | the corrective action is still in process. Outcomes also  |
|          | appear to conform to requirements of the Standard.        |
|          |                                                           |
|          | Corrective actions in ERP are handled through the         |
|          | Condition Reporting system. ERP also has a very active    |
|          | Lessons Learned process \[**NOTEWORTHY\]**                |
|          |                                                           |
|          | Director -- All projects that had been in progress in     |
|          | FY05 were closed out by the end of that period -- a major |
|          | accomplishment. Since then they have successfully         |
|          | concluded a ROD for the BGRR and expect a final ROD for   |
|          | the HFBR early in FY07. So they are in a transition,      |
|          | "gear-shifting" process currently. This is involving      |
|          | retooling of the procedures, making them more restrictive |
|          | for application to the nuclear work. Called out changes   |
|          | to corrective action process, QA program, R2A2s as        |
|          | examples of improvements that have been made. Expect to   |
|          | award a contract soon (July) for the Graphite removal     |
|          | activities, but requires a very long lead before work is  |
|          | conducted. Much tighter controls are being developed and  |
|          | implemented -- "skill of the craft" has been eliminated   |
|          | from their vocabulary -- which involves work permits and  |
|          | procedures for all activities. All activities include     |
|          | environmental reviews -- they don't go forward without    |
|          | it. Changing categorization of BGRR to Hazard Cat 3, this |
|          | makes for a very different set of conditions and          |
|          | requirements that need to be addressed. This approach     |
|          | requires much more up-front planning, which benefits the  |
|          | project in the long-run.                                  |
|          |                                                           |
|          | Community relations are very important and integral to    |
|          | their activities -- working proactively to include the    |
|          | local public in the process as appropriate. Typically     |
|          | there are ERP items on the CAC agenda at each monthly     |
|          | meeting. Project Operations Review Committee (PORC) --    |
|          | will report to his office -- will include people involved |
|          | in the project and several from other                     |
|          | Divisions/Directorates. Intended to get some independent  |
|          | review involved in project activities. Also chartering an |
|          | Independent Review Panel -- all members will be from      |
|          | outside the Lab and will be experts in their particular   |
|          | areas (ISM, decommissioning, etc.) -- will meet at least  |
|          | 3 times per year to look at all of the major activities   |
|          | involved with the D&D projects.                           |
|          |                                                           |
|          | The plans that are being formulated and finalized include |
|          | several layers of monitoring and measurement to ensure    |
|          | that there is no release of radioactive or hazardous      |
|          | constituents. Also employing waste minimization           |
|          | approaches to keep the amount of waste materials to a     |
|          | lower level, or at least decrease the amount considered   |
|          | radioactive v. other.                                     |
|          |                                                           |
|          | Rev'd: Final Report 2006 Internal Assessment of the BNL   |
|          | EMS (4/11/06) -- No NCs, but had 3 OFIs were documented   |
|          | relevant to ERP. All 3 findings were documented in the    |
|          | ERP Condition Reporting system.                           |
|          |                                                           |
|          | ERP-OPM 2.2 Corrective Action Program & Condition         |
|          | Reporting System (Rev. 0, 3/16/06). Anything identified   |
|          | as "abnormal" or where conditions are not meeting stated, |
|          | documented or intended requirements, near misses, Tier 1  |
|          | findings, along with audits are sources for initiating    |
|          | Condition Reports. Following the ORPS process for         |
|          | addressing findings (whether or not an ORPS records is    |
|          | required) to resolve the issue. All Condition Reports are |
|          | distributed to a substantial group of people (defined in  |
|          | Section 5.9). Procedure identifies the response and       |
|          | follow-up actions for each of the classifications for     |
|          | findings (A-1, A-2, etc.).                                |
|          |                                                           |
|          | Monthly updates of Condition Report status required by    |
|          | procedure, but Quality Manager actually updates weekly    |
|          | and this is included in the Weekly Safety Meeting (Rev'd: |
|          | Example of Status Report). Records being maintained in    |
|          | Family ATS. Response is required in a time-period based   |
|          | on graded approach, taking into account the nature of the |
|          | issue and its criticality (environmental impacts, for     |
|          | example). They have made a requirement to conduct simple  |
|          | root cause analyses even on Class A-4 findings, which is  |
|          | not a standard practice throughout the Lab. Will be       |
|          | receiving training on Barrier Analysis, which is another  |
|          | root cause analytical technique.                          |
|          |                                                           |
|          | Rev'd: Environmental Management Condition Report          |
|          | records - #ER-06-01 (10/24/05) -- very extensive problem  |
|          | evaluation and development of solutions. Issue remains    |
|          | open as some of the preventive/corrective measures        |
|          | require collection of 12 months worth of monitoring data  |
|          | to determine the effectiveness of the remedial actions.   |
|          | **Well-done**! #ERP-06-21 (5/16/06) -- Closed; #ER-06-17  |
|          | (3/29/06) -- Closed; #ER-06-16 (3/29/06) -- Closed;       |
|          | #ER-06-03 (10/31/05) -- Included in Family ATS -- Closed. |
|          | \[**NOTEWORTHY**\]                                        |
|          |                                                           |
|          | No D&D work is occurring at this time, so there is no     |
|          | opportunity to interview operations employees this visit. |
|          |                                                           |
|          | ERP has been reorganized to a point where they are        |
|          | focused only on the reactor decommissioning projects. All |
|          | others have been handed over to LTRA for continuation of  |
|          | those non-reactor restoration, operations and maintenance |
|          | activities.                                               |
|          |                                                           |
|          | Interviewees: Training/ESH Coordinator, Quality Manager,  |
|          | ECR/EMS Rep., Director-ERP, Manager-D&D Operations, H&S   |
|          | Rep., Building Manager/Local Emerg. Coord, Work Control   |
|          | Coord.-S&M                                                |
+----------+-----------------------------------------------------------+
| **Mai    | **Identify process inputs and describe their interactions |
| ntenance | with the process:**                                       |
| of       |                                                           |
| Overall  | EMS System results from last fiscal year are inputs to    |
| EMS BNL  | the EMS planning for                                      |
| Top      |                                                           |
| Level**  | **Process Objective(s)**:                                 |
|          |                                                           |
| **4.1,   | Maintain overall direction and effectiveness of BNL EMS.  |
| 4.4.4,   | Provide guidance for directorates and divisions to set    |
| 4.4.5,   | objectives, targets and programs.                         |
| 4.3.1,   |                                                           |
| 4.4.3,   | **Describe whether the process is effective or not:**     |
| 4.5.1,   |                                                           |
| 4.4.2,   | Overall BNL EMS is effective and Management review was    |
| 4.4.3    | detailed with numerous issues discussed for continual     |
| Ex       | improvement of environmental performance and system       |
| ternal** | elements. EMS support has been consistently applied to    |
|          | divisions, giving divisions flexibility to implement      |
|          | operational controls and P2 initiatives on their own. See |
|          | summary section for comments on the effectiveness of the  |
|          | overall EMS                                               |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | George Goode (Management Rep), John Selva (EMS Lead), Bob |
|          | Lee (compliance mgr.)                                     |
|          |                                                           |
|          | Interview, Management Review presentation and ROD and     |
|          | EWMSD Self Assessment Plan quarterly report for 2^nd^     |
|          | quarter - 5/3/06. Also Jeanne D\'Ascoli, Community        |
|          | Relations.                                                |
|          |                                                           |
|          | FRS Review: Scope, No. Employees, contact information all |
|          | confirmed.                                                |
|          |                                                           |
|          | 4.1, 4.4.4, 4.4.5 - not many changes to top level EMS     |
|          | documentation. New Management Review - conbined           |
|          | EMS/OHSAS. See handwritten notes pages BES-2-3 for        |
|          | details about MR.                                         |
|          |                                                           |
|          | 4.3.1, 4.3.3 Objectives and Targets were reviewed in      |
|          | detail in 2005 MR meeting on 12/15/05. Power usage        |
|          | appears to be an aspect of greater significance this year |
|          | with penalties for exceeding certain usages.              |
|          |                                                           |
|          | FY06 funded P2 projects - 7 projects for a total of       |
|          | \$28,228 with savings potential of \$58,323. Projects     |
|          | were for various department. They included aerosol can    |
|          | disposal system, replacement of Hg Therms, HPLC solvent   |
|          | recovery system, propane cylinder devalver, fluorescently |
|          | lableled oligonucleotides, electronic recycling, and oil  |
|          | free pumps. The projects were implemented in Q2 and will  |
|          | be verfied for payback and effectiveness late in the      |
|          | year.                                                     |
|          |                                                           |
|          | Discussion of aspect/risk of QA programs at outside       |
|          | labs - discussion of methylene chloride contamination     |
|          | from outside lab. Added as action item 06-02 for          |
|          | self-assessment plan.                                     |
|          |                                                           |
|          | 4.4.2 Training - discussion that policy simplification    |
|          | and desire for employees to better understand EMS and OSH |
|          | fit with ISM.                                             |
|          |                                                           |
|          | 4.5.1 Monitoring and Measurement 2005 compliance          |
|          | monitoring peformed and reviewed in management review for |
|          | air emissions (rad and non-rad), and SPDES limits and     |
|          | exceedances, potable water comsumption, total number of   |
|          | spills, Environmental performance Index - composite of    |
|          | compliance-type metrics, solid waste diversion rate,      |
|          | groundwater impacts, submittal of P2 proposals, PCB       |
|          | inventory and number of E-ORPS.                           |
|          |                                                           |
|          | 4.4.3 External Communications. See handwritten notes page |
|          | BES-1 for auditing of this area.                          |
|          |                                                           |
|          | Institutional Level Objectives red/green/yellow approach  |
|          |                                                           |
|          | 2005 EMS Yellow: Compliance program always has a yellow   |
|          | status to maintain priority level. EPA Performance track  |
|          | program. Also groundwater protection program -- fully     |
|          | implement. This is a priority for stakeholders and the    |
|          | most likely impact to community. ROD for g-2 is under     |
|          | development for a legacy accelerator experiment. Also     |
|          | transition for LTRA (areas are transitioned back to lab   |
|          | after completion of clean up activities).                 |
|          |                                                           |
|          | New Lab Director: April 30 was last day. Dr. Sam Aronson  |
|          | is interim director. Formerly department chair for        |
|          | Physics Department -- Therefore he is familiar with the   |
|          | ISO and OHSAS systems.                                    |
|          |                                                           |
|          | Lab mission in Director Search documents includes safety  |
|          | and environmental in first paragraph of job description.  |
|          |                                                           |
|          | Documentation. Driver is SBMS for documentation.          |
|          | Integration of OHSAS and EMS his been an initiative.      |
|          | Management review was integrated.                         |
|          |                                                           |
|          | Directorate Level Objectives to support the institutional |
|          | level. EMS Team tries to gather information from the      |
|          | directorates to roll up to institutional level.           |
|          |                                                           |
|          | 2006 Objectives have been set for institution. Document   |
|          | issued on 3/29/06 rev 1. Originally issued for start of   |
|          | FY 2006 on 10/26/05. OHSMS and EMS objectives included in |
|          | the document. Suggested targets are provided for each     |
|          | directorate/department.                                   |
|          |                                                           |
|          | 4.3.3 and 4.5.1                                           |
|          |                                                           |
|          | EWMSD Self Assessement Plan includes non-compliance items |
|          | -- Quarterly Report -- reviewed 2nd Quarter, Quarterly    |
|          | Report FY 2006 for EWMSD. Format includes                 |
|          | Targets&Indicators, Means (actions), Responsibility / Due |
|          | Date, and status. Items are clearly marked if completed.  |
|          | Example items: program assessment for compliance items    |
|          | for industrial processes/ECR and PAF's (process           |
|          | assessment forms), QA of Environmental Samples by         |
|          | non-EWMS Organizations.                                   |
|          |                                                           |
|          | Excellent detail for environmental management programs    |
|          | for EWMSD -- this includes many items that support the    |
|          | institution-wide. This includes an effectiveness          |
|          | component. For example if the goal is numeric, the        |
|          | quarterly report includes the progress in numbers.        |
|          |                                                           |
|          | Senior staff meets biweekly/monthly meetings to go over   |
|          | open items and ATS actions and coming up regulatory       |
|          | reports. Open items are monitored.                        |
|          |                                                           |
|          | Quarterly Performance and Evaluation and Management Plan  |
|          | (PEMP). P2 established measure where each directorate was |
|          | to submit two proposals for P2 projects each year. 3rd    |
|          | quarter -- implementation phase. Also includes            |
|          | maintenance of the EMS and OHSAS systems and              |
|          | registrations.                                            |
|          |                                                           |
|          | Two P2 projects were submitted for each "waste-generating |
|          | departments." P2 projects approved in Q2 -- aerosol can   |
|          | disposal system for (NSLS), Replacement of Hg Therm       |
|          |                                                           |
|          | Expanding the program next year to require submittals     |
|          | also from administrative-type departments                 |
|          |                                                           |
|          | Action Item 06-10 documenting number of interactions with |
|          | other Batelle sites. Sharing internal audit resources and |
|          | using this as information gathering. Identified as        |
|          | baseline for this year to determine how many interactions |
|          | are on-going.                                             |
|          |                                                           |
|          | Lingering issues with employee confidence of water        |
|          | supply. Wells are not close to contamination, and lack of |
|          | trust of tap water has resulted in many water bottles.    |
|          | Outreach program includes taste tests and training to     |
|          | encourage the use of tap water. Taste test of various     |
|          | waters on Island and awareness of PM requiremnets for     |
|          | water coolers to be safe.                                 |
+----------+-----------------------------------------------------------+
| *        | **Identify process inputs and describe their interactions |
| *Instrum | with the process:**                                       |
| entation |                                                           |
| Di       | Processes reviewed: machine shop production activities,   |
| vision** | printed circuit board production, records management,     |
|          | management review, microelectronics.                      |
| **E&O    |                                                           |
| 4.3,     | **Process Objective(s)**:                                 |
| 4.4.1,   |                                                           |
| 4.4.3,   | Objectives were set to support each policy commitment -   |
| 4.4.4,   | compliance, pollution prevention/accident                 |
| 4.4.6,   | prevention/system continual improvement for E and OSH.    |
| 4.5.1,   | Objectives are in process and appear on track to be       |
| O -      | achieved this fiscal year.                                |
| 4.5.2,   |                                                           |
| 4.5.4,   | **Describe whether the process is effective or not:**     |
| E-       |                                                           |
| 4.5.3,   | EMS and OHSAS are effective for this department.          |
| 4.5.5**  | Management Rep was out for six months medical leave.      |
|          | Critical system components were maintained during the     |
|          | absence such as Tier 1 inspections and closures,          |
|          | finalization of program objectives for both systems,      |
|          | submission of P2 suggestions. A few system items are      |
|          | slightly behind such as submittal of S2 ideas.            |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | See handwritten notes, BES-4 thru BES-9                   |
+----------+-----------------------------------------------------------+
| NSLS     | **Identify process inputs and describe their interactions |
|          | with the process:**                                       |
| **E&O    |                                                           |
| 4.3,     | Process involves Experimentors -- 2400 visiting and 100   |
| 4.4.1,   | year-round. 170 employees                                 |
| 4.4.3,   |                                                           |
| 4.4.4,   | **Process Objective(s)**:                                 |
| 4.4.6,   |                                                           |
| 4.5.1,   | Maintenance of EMS and OHSAS systems for National         |
| O -      | Synchrotron Light Source                                  |
| 4.5.2,   |                                                           |
| 4.5.4,   | **Describe whether the process is effective or not:**     |
| E-       |                                                           |
| 4.5.3,   | EMS and OHSAS systems are effective. Direct communication |
| 4.5.5**  | from management team to safety committee is a particular  |
|          | strength as well as self-funding of P2 projects.          |
|          | Practical training for numerous visitors is also very     |
|          | effectively managed.                                      |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | Bob Casey, MR for both E & O. On management team for      |
|          | Light Source.                                             |
|          |                                                           |
|          | OHSAS and EMS manual. ESHPRM (Policy and Requirements     |
|          | Manual). EMS/OHSAS committee meets every two weeks        |
|          | interact in staff meetings -- formal meetings twice per   |
|          | year.                                                     |
|          |                                                           |
|          | Work Planning is critical. Managed by Al Boerner in the   |
|          | Operations Division with major involvement from ESH       |
|          | personnel. For Maintenance projects, we won't have any    |
|          | heavy maintenance to look at. Maintenance occurs 1-2 days |
|          | per month, but not this week.                             |
|          |                                                           |
|          | Worker involvement committee. Also each area has an EHS   |
|          | Area Rep. Staff has evaluated 38 activities for JRA.      |
|          |                                                           |
|          | For Env. Aspects -- process evaluations are source of     |
|          | most of information. Also experimental reviews and Safety |
|          | Analysis Documents, ESH committee reviews and FUA         |
|          | Facility Use Agreement -- idea is to cover admin and      |
|          | technical areas of NSLS                                   |
|          |                                                           |
|          | Communication -- 20 presentations or email about EMS or   |
|          | OHSAS.                                                    |
|          |                                                           |
|          | Objectives and Targets -- Safety Improvement Plan -- EHS  |
|          | Improvement for 2006. 1/20/06, Revised 6/16/06. Developed |
|          | via iterative process for business planning and input for |
|          | institution target suggestions. Targets are put into      |
|          | FATS.                                                     |
|          |                                                           |
|          | • Characterize potential for Lead exposure -- lead is     |
|          | used as a shield. Ackerman is responsible for this one,   |
|          | Prep for ISM in 2007, Complete 2nd round of worker        |
|          | qualification upgrades, Several DOE Driven implementation |
|          | NRTL and Updates of implications of Part 851 compliance,  |
|          | shielding of beam lines -- preventive due to issues at    |
|          | another light source, evaluation of synthetic oils in     |
|          | vacuum pumps, evaluate waste generated with cooling water |
|          | maintenance -- metal and acidic wastes are generated, ODS |
|          | evaluate to see if can replace R-22.                      |
|          |                                                           |
|          | Al Boerner, power dist., electrical staff & work          |
|          | planning. in charge of 28 work control coordinators. Work |
|          | control docs -field copy is on qreen paper. No. 342       |
|          | X9A/B. Covers safety & env. Concens. For this project,    |
|          | lead, noise, elevated work, electrical.                   |
|          |                                                           |
|          | Work Permit Process Auditor verified closed one. No. 838. |
|          | Ontrol valve on heating system. Feedback lessons learned. |
|          | Al starts process. Then meet w sme, workers. Safety       |
|          | concerns-plan shows how to do it.                         |
|          |                                                           |
|          | Ron Beaman, 14 years utilities. Union & nonunion          |
|          | employees. 7 people. Largest pollution source- for Light  |
|          | Source. Also, water systems, cooling towers, process      |
|          | water is deionized, recharge beds, ojt for new tech is    |
|          | important control for significant aspects.                |
|          |                                                           |
|          | acid & caustic. Analyzed waste. Most is neutralized no    |
|          | metals. Small amount of waste is haz. Goes to waste mgmt. |
|          |                                                           |
|          | Procedure L-S-M-0005 REV. A 11/4/99. Verified posted      |
|          | procedure. And proper mark of obsolete docs.              |
|          |                                                           |
|          | Mechanical equipment room no. 2                           |
|          |                                                           |
|          | verified logs for 6/13/06 to 6/20/06.                     |
|          |                                                           |
|          | HIGH pressure cu & exerimental systems. Also lög book for |
|          | outlying conditions.                                      |
|          |                                                           |
|          | phone list updated 3/2/06.                                |
|          |                                                           |
|          | See also notes pages BES-19 through 24.                   |
+----------+-----------------------------------------------------------+
| **BES**  | **Identify process inputs and describe their interactions |
|          | with the process:**                                       |
| **E&O    |                                                           |
| 4.3,     | Basic Energy Sciences includes Chemistry and Condensed    |
| 4.4.1,   | Matter Physics/Material Science. Nanoscience is           |
| 4.4.3,   | underdevelopment. They have no building, but will be part |
| 4.4.4,   | of BESD. Individuals are located in various lab           |
| 4.4.6,   | buildings.                                                |
| 4.5.1,   |                                                           |
| O -      | **Process Objective(s)**:                                 |
| 4.5.2,   |                                                           |
| 4.5.4,   | Maintenance of EMS and OHSAS systems for Basic Energy     |
| E-       | Sciences including Chemistry and Condensed Matter Physics |
| 4.5.3,   | and Material Science.                                     |
| 4.5.5**  |                                                           |
|          | **Describe whether the process is effective or not:**     |
|          |                                                           |
|          | EMS and OHSAS systems are effective. BESD has             |
|          | demonstrated conformance with EMS And OHSAS requirements  |
|          | through clear management commitment efforts. Management   |
|          | team has provided resources by self-funding P2 projects.  |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | See handwritten notes, BES-10 thru BES-18                 |
+----------+-----------------------------------------------------------+
| **P      | **Identify process inputs and describe their interactions |
| hysics** | with the process:**                                       |
|          |                                                           |
| **E&O    | Physics Department. Condensed Matter Physics is now part  |
| 4.3,     | of the BESD, but is co-located with Physics and shares    |
| 4.4.1,   | some of the safety committee activities.                  |
| 4.4.3,   |                                                           |
| 4.4.4,   | **Process Objective(s)**:                                 |
| 4.4.6,   |                                                           |
| 4.5.1,   | Maintenance of EMS and OHSAS systems for the Physics      |
| O -      | Department. Training programs for visitors and people     |
| 4.5.2,   | from other organizations is effective and well managed.   |
| E-       |                                                           |
| 4.5.3**  | **Describe whether the process is effective or not:**     |
|          |                                                           |
|          | EMS and OHSAS systems are effective. Physics has          |
|          | demonstrated conformance with EMS And OHSAS requirements  |
|          | through good communication and a strong and mature EHS    |
|          | committee.                                                |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | See Handwritten Notes BES-25 through BES-30.              |
+----------+-----------------------------------------------------------+
| **Life   | **Identify process inputs and describe their interactions |
| Sciences | with the process:**                                       |
| EMS Only |                                                           |
| 4.3,     | Life Sciences Department includes Building 801 rad work,  |
| 4.4.1,   | BLIP and Biology.                                         |
| 4.4.3,   |                                                           |
| 4.4.4,   | **Process Objective(s)**:                                 |
| 4.4.6,   |                                                           |
| 4.5.1,   | Maintenance of EMS for the Life Sciences Department. Life |
| 4.5.3**  | sciences has focused on P2 initiatives and effectively    |
|          | integrated the EMS into experimental work documents.      |
|          | Where appropriate for Rad work procedures are formal and  |
|          | linked. Where appropriate for \"small lab\" activities,   |
|          | efforts have been made to minimize documentation.         |
|          |                                                           |
|          | **Describe whether the process is effective or not:**     |
|          |                                                           |
|          | The EMS is effective. Life Sciences has committed to      |
|          | pollution prevention by pursuing difficult legacy issues  |
|          | and seeking incremental improvements within laboratory    |
|          | practice such as redesigning experiments to reduce rad    |
|          | waste categories and implementation of solvent recycling. |
|          |                                                           |
|          | **Describe the Process (personnel interviewed, training,  |
|          | job relevance, policy, etc.)**:                           |
|          |                                                           |
|          | See Handwritten Notes BES-31 through BES-35.              |
+----------+-----------------------------------------------------------+

**READINESS REVIEW -- N/A**

+-----------------------------------------------------------------------+
| Does the Company have any Proprietary Processes? If yes, please       |
| explain how these processes will be audited in the future.            |
|                                                                       |
|                                                                       |
+-----------------------------------------------------------------------+
| Status of desk audit issues:                                          |
|                                                                       |
|                                                                       |
|                                                                       |
| (The auditor shall document the status of issues identified during    |
| the Desk Audit Review. Any issue that was not closed during this      |
| visit should be written as a CAR.) NOTE - In the audit note section,  |
| please discuss what was reviewed during the ORR audit.                |
+-----------------------------------------------------------------------+

**Re-Assessment Only**: **N/A**

+-----------------------------------------------------------------------+
| **Has the organization demonstrated an *effective interaction*        |
| between all requirements and/or the processes of the system?**        |
|                                                                       |
| Yes No If no, explain:                                                |
|                                                                       |
| (Lead Auditor should provide a brief summary -- either narrative or   |
| bullets - of the objective evidence that supports a no answer above.  |
| Refer to audit notes and CARs where appropriate.)                     |
+-----------------------------------------------------------------------+
| **In light of changes in operations and/or management system          |
| enhancements and improvements during the previous 3-year registration |
| cycle, has the organization been able to maintain an overall          |
| effective Management System?**                                        |
|                                                                       |
| Yes No If no, explain:                                                |
|                                                                       |
| (Lead Auditor should provide a brief summary -- either narrative or   |
| bullets - of the objective evidence that supports a negative answer   |
| above. Focus this section of the report on weaknesses of the system   |
| in the face of changes that have occurred in operations or the        |
| management system since the initial registration. Refer to audit      |
| notes, or CARS where appropriate.)                                    |
+-----------------------------------------------------------------------+
| **Has the organization's top management demonstrated a commitment to  |
| maintain the effectiveness and improvement of the management system   |
| in order to enhance its overall performance?**                        |
|                                                                       |
| Yes No If no, explain:                                                |
|                                                                       |
| (Lead Auditor should provide a brief summary -- either narrative or   |
| bullets - of the objective evidence that supports a negative answer   |
| above. Refer to audit notes, and CARs where appropriate.)             |
+-----------------------------------------------------------------------+
| **Does the company\'s documented system continue to address the       |
| requirements of the audit standard?**                                 |
|                                                                       |
| Yes No If no, explain:                                                |
|                                                                       |
| (Lead auditor should provide a brief summary for a negative answer on |
| whether the company\'s documentation addresses the requirements of    |
| the audit standard. The appropriate desk audit summary form should be |
| completed and attached to this report.)                               |
+-----------------------------------------------------------------------+

Customer: Brookhaven National Lab FRS#: 69525 Audit Team: Clayman,
Sprague

> EMS AUDIT SUMMARY MATRIX FOR 3 YEAR REGISTRATION CYCLE

<table style="width:100%;">
<colgroup>
<col style="width: 19%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 8%" />
<col style="width: 21%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td><strong>MAJOR PROCESSES</strong></td>
<td><strong>R</strong></td>
<td><strong>V1</strong></td>
<td><strong>V2</strong></td>
<td><strong>V3</strong></td>
<td><strong>V4</strong></td>
<td><strong>V5</strong></td>
<td><h1 id="key">Key</h1></td>
<td><h1 id="clause">Clause</h1></td>
<td><h1 id="description">Description</h1></td>
<td><strong>R</strong></td>
<td><strong>V1</strong></td>
<td><strong>V2</strong></td>
<td><strong>V3</strong></td>
<td><strong>V4</strong></td>
<td><strong>V5</strong></td>
</tr>
<tr class="even">
<td>NSLS</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.2</p>
</blockquote></td>
<td>Environmental Policy</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Collider-Accelerator Dept.</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.3</p>
</blockquote></td>
<td>Planning</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Superconducting-Magnet Div.</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.3.1</p>
</blockquote></td>
<td>Environmental Aspects</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>EENS Directorate</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.3.2</p>
</blockquote></td>
<td>Legal and Other Requirements</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Basic Energy Sciences</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.3.3</p>
</blockquote></td>
<td>Objectives, Targets and Programs</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Life Sciences</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4</p>
</blockquote></td>
<td>Implementation/Operation</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Physics Department</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.1</p>
</blockquote></td>
<td>Resources, Roles, Responsibility &amp; Authority</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Instrumentation Division</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.2</p>
</blockquote></td>
<td>Competence, Training &amp; Awareness</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.3</p>
</blockquote></td>
<td>Communication</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><blockquote>
<p>4.4.4</p>
</blockquote></td>
<td>Documentation</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.5</p>
</blockquote></td>
<td>Control of Documents</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.6</p>
</blockquote></td>
<td>Operational Control</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.7</p>
</blockquote></td>
<td>Emergency Preparedness &amp; Response</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.5</p>
</blockquote></td>
<td>Checking/Corrective Action</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.5.1</p>
</blockquote></td>
<td>Monitoring and Measurement</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>A</strong></td>
<td><blockquote>
<p>4.5.2</p>
</blockquote></td>
<td>Evaluation of Compliance</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><strong>SUPPORT PROCESSES</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.5.3</p>
</blockquote></td>
<td>Nonconformity, Corrective and Preventive Action</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Facilities &amp; Operations Dir.</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.5.4</p>
</blockquote></td>
<td>Control of Records</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>EWMSD</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.5.5</p>
</blockquote></td>
<td>Internal Audit</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Env. Restoration Projects Dir</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.6</p>
</blockquote></td>
<td>Management Review</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Management/Administration</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><blockquote>
<p><mark></mark></p>
</blockquote></td>
<td><p>CAR’s ISSUED PER VISIT</p>
<p>Minor/Major</p></td>
<td></td>
<td></td>
<td>2/0</td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

**KEY (related to Standard Section only not Process Section):
A=Annually; E=Every visit; (-) = Over 3 year cycle R= Registration or
Reassessment; V#=Surv. Visits;**

X = Processes and requirements audited this visit; P = partially
audited. Leave blank if not audited. NA -- not Applicable. CARs --
(Minor/Major)

Any CAR written shall be identified in the requirement section of the
form with the \# of CAR (s) written for that specific requirement, i.e.,
2 minors and 1 major for 7.6 would be written as 1/2 in section 7.6 of
the form. No need to have **X** if a CAR is issued for a
requirement**.** --

This is a cumulative form and is used for all audits in the 3 year cycle
-- YOU WILL NOT USE A NEW SHEET FOR EVERY AUDIT!

Customer: Brookhaven National Lab FRS#: 69527, 69528 Audit Team:
Clayman, Sprague

> OHSAS 18001 AUDIT SUMMARY MATRIX FOR 3 YEAR REGISTRATION CYCLE

<table>
<colgroup>
<col style="width: 18%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 7%" />
<col style="width: 22%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 3%" />
</colgroup>
<tbody>
<tr class="odd">
<td>MAJOR PROCESSES</td>
<td><strong>R</strong></td>
<td><strong>V1</strong></td>
<td><strong>V2</strong></td>
<td><strong>V3</strong></td>
<td><strong>V4</strong></td>
<td><strong>V5</strong></td>
<td><h1 id="key-1">Key</h1></td>
<td><h1 id="clause-1">Clause</h1></td>
<td><h1 id="description-1">Description</h1></td>
<td><strong>R</strong></td>
<td><strong>V1</strong></td>
<td><strong>V2</strong></td>
<td><strong>V3</strong></td>
<td><strong>V4</strong></td>
<td><strong>V5</strong></td>
</tr>
<tr class="even">
<td>NSLS</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><blockquote>
<p>4.1</p>
</blockquote></td>
<td>General Requirements</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Collider-Accelerator Dept.</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.2</p>
</blockquote></td>
<td>OH&amp;S Policy</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Superconduct’g-Magnet Div.</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.3</p>
</blockquote></td>
<td>Planning</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>EENS Directorate</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.3.1</p>
</blockquote></td>
<td>Planning for Hazard Identification, Risk Assessment and Risk
Control</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Basic Energy Sciences</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.3.2</p>
</blockquote></td>
<td>Legal and Other Requirements</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Life Sciences</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.3.3</p>
</blockquote></td>
<td>Objectives</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Physics Department</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><blockquote>
<p>4.3.4</p>
</blockquote></td>
<td>OH&amp;S Management Programs</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Instrumentation Division</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4</p>
</blockquote></td>
<td>Implementation/Operation</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.1</p>
</blockquote></td>
<td>Structure and Responsibility</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.2</p>
</blockquote></td>
<td>Training, Awareness &amp; Competence</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.3</p>
</blockquote></td>
<td>Consultation &amp; Communication</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><blockquote>
<p>4.4.4</p>
</blockquote></td>
<td>Documentation</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.5</p>
</blockquote></td>
<td>Documents and Data Control</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.6</p>
</blockquote></td>
<td>Operational Control</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>SUPPORT PROCESSES</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.4.7</p>
</blockquote></td>
<td>Emergency Preparedness &amp; Response</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Facilities &amp; Operations Dir.</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.5.1</p>
</blockquote></td>
<td>Performance Measuring and Monitoring</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>EWMSD</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td><strong>A</strong></td>
<td><blockquote>
<p>4.5.2</p>
</blockquote></td>
<td>Accidents, Incidents, Non-conformances and Corrective and Preventive
Actions</td>
<td></td>
<td></td>
<td>P</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td>Env. Restoration Projects Dir</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td><blockquote>
<p>4.5.3</p>
</blockquote></td>
<td>Records and Records Management</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Management/Administration</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.5.4</p>
</blockquote></td>
<td>Audit</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>E</strong></td>
<td><blockquote>
<p>4.6</p>
</blockquote></td>
<td>Management Review</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td><strong>-</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><mark></mark></td>
<td><blockquote>
<p><mark></mark></p>
</blockquote></td>
<td><p>CAR’s ISSUED PER VISIT</p>
<p>Minor/Major</p></td>
<td></td>
<td></td>
<td>1/0</td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

**KEY (related to Standard Section only not Process Section):
A=Annually; E=Every visit; (-) = Over 3 year cycle R= Registration or
Reassessment; V#=Surv. Visits;**

X = Processes and requirements audited this visit; P = partially
audited. Leave blank if not audited. NA -- not Applicable. CARs --
(Minor/Major)

Any CAR written shall be identified in the requirement section of the
form with the \# of CAR (s) written for that specific requirement, i.e.,
2 minors and 1 major for 4.6 would be written as 2/1 in section 4.6 of
the form. No need to have **X** if a CAR is issued for a
requirement**.** --

This is a cumulative form and is used for all audits in the 3 year cycle
-- YOU WILL NOT USE A NEW SHEET FOR EVERY AUDIT!

**[Attachments to be filed with the Audit Report:]{.underline}**

Quote

FRS signed by client

Desk Audit Issues Summary Page (as necessary)

Support for closure of CARs

Audit Agenda/Schedule

## 

[Attachments]{.underline}

Audit Confirmation Letter and Schedule

Audit Evidence/Notes -- Clayman, Sprague

23 May 2006 ***Via E-Mail***

Ms. Pat Williams Mr. John Selva

Brookhaven National Laboratory Brookhaven National Laboratory

40 Brookhaven Avenue, Building 130 Building 535Z Technology Street

Upton, NY 11973-5000 P.O. Box 5000

Upton, NY 11973-5000

**RE: EMS & OSHMS Surveillance Audit Confirmation Letter and Schedule**

**Brookhaven National Laboratory -- Upton, NY**

**FRS #69525, 69527 & 69528**

# Dear Ms. Williams and Mr. Selva:

This letter is to confirm that the OHSAS 18001:1999 and ISO 14001:2004
Surveillance Audit of the Brookhaven National Laboratory (BNL)
facilities are scheduled to begin around 8:30 a.m. on Monday, June 19,
2006 and conclude during the afternoon of Friday, June 23, 2006. This
audit will include our review of the BNL Environmental Management System
(EMS) for its conformance to the ISO 14001:2004 standards, along with
review of the Occupational Safety & Health Management System (OSHMS) for
ongoing conformance to the OHSAS 18001:1999 requirements; the OSHMS
review will address only the Phase 1 and 2 organizations. The attached
tentative audit schedule has been developed for these activities.

The NSF-ISR audit team will consist of Ken Clayman, Lead Auditor, and
Briana Sprague, Team Auditor. While on site, the audit team will need:

-   Escorts who are familiar with the facilities to accompany each
    auditor (need not be the same person during the entire audit).

-   A conference room in which the opening and closing meeting can be
    conducted.

-   A room in which the audit team can caucus periodically. A telephone
    and computers with access to the electronically based SBMS, EMS and
    OSHMS information in the room would be extremely helpful.

Please give me a call at (540) 891-8110, if you have any questions about
these plans, or encounter any unexpected circumstances that could affect
the schedule.

Sincerely,

![](media/image2.jpeg){width="3.1625in" height="0.7076388888888889in"}

Kenneth A. Clayman

Lead Auditor

NSF-ISR, Ltd.

Attachment

#### Day 1 -- 19 June 2006

  -------------------------------------------------------------------------------
  **TIME**   **LOCATION/DEPT/FUNCTION    **TIME**   **LOCATION/DEPT/FUNCTION \***
             \***                                   
  ---------- --------------------------- ---------- -----------------------------
  0830       Auditors Arrive --          0830       Auditors Arrive --
             Security/Badging, etc.                 Security/Badging, etc.

  0900       Opening Meeting             0900       Opening Meting

  0930       Prepare for and Audit F&O   0930       Review Scope of EMS, General
             (E & O-4.3, 4.4.1, 4.4.2,              EMS Documentation Changes
             4.4.3, 4.4.4, 4.4.6, 4.5.1;            (4.1, 4.4.4, 4.4.5); Changes
             O-4.5.2, 4.5.4, E-4.5.3,               to Aspects/Impacts (4.3.1);
             4.5.5) -- Review overall MS            Progress on Achieving
             documentation and program              Objectives/Targets/Programs
             administration, then                   (4.3.3, 4.5.1); Review
             interview/audit in                     Changes to Competence,
             operational areas                      Training & Awareness
                                                    Processes (4.4.2); External
                                                    Communications/ Env.
                                                    Complaints (4.4.3)

  1215       Lunch                       1215       Lunch

  1300       Audit Team Caucus           1300       Audit Team Caucus

  1315       Continue/Complete Audit in  1315       Continue from Morning -- Add
             F&O Operational Areas                  Training, Awareness &
                                                    Competence (4.4.2),
                                                    Conformance Monitoring
                                                    (4.5.1)

                                         1500       Prepare for and Audit NSLS (E
                                                    & O-4.3, 4.4.1, 4.4.2, 4.4.3,
                                                    4.4.4, 4.4.6, 4.5.1; O-4.5.2,
                                                    4.5.4, E-4.5.3, 4.5.5) --
                                                    Review overall MS
                                                    documentation and program
                                                    administration, then
                                                    interview/audit in
                                                    operational areas

  1630       Audit Team Caucus           1630       Audit Team Caucus

  1645       Daily Debrief               1645       Daily Debrief

  1715       Auditors Depart             1715       Auditors Depart
  -------------------------------------------------------------------------------

Note: During auditing in specified divisional areas, Auditors will be
evaluating the extent of the EMS/OSHMS implementation and the
effectiveness of the system in these functional locations.

\* Review of findings from previous audits will occur during the
appropriate period when those subjects are under review/discussion and
in the Divisions where they were identified.

#### Day 2 -- 20 June 2006

  ------------------------------------------------------------------------------
  **TIME**   **LOCATION/DEPT/FUNCTION    **TIME**   **LOCATION/DEPT/FUNCTION
             \***                                   \***
  ---------- --------------------------- ---------- ----------------------------
  0815       Auditors Arrive             0815       Auditors Arrive.

  0830       Prepare for and Audit in    0830       Continue/Complete NSLS
             EWMSD (E & O-4.3, 4.4.1,               Auditing
             4.4.2, 4.4.3, 4.4.4, 4.4.6,            
             4.5.1; O-4.5.2, 4.5.4,                 
             E-4.5.3, 4.5.5) -- Review              
             overall MS documentation               
             and program administration,            
             then interview/audit in                
             operational areas                      

  1215       Lunch                       1215       Lunch

  1300       Audit Team Caucus           1300       Audit Team Caucus

  1315       Continue/Complete EWMSD     1315       Prepare for and Audit in
                                                    BESD (E & O-4.3, 4.4.1,
                                                    4.4.2, 4.4.3, 4.4.4, 4.4.6,
                                                    4.5.1; O-4.5.2, 4.5.4,
                                                    E-4.5.3, 4.5.5) -- Review
                                                    overall MS documentation and
                                                    program administration, then
                                                    interview/audit in
                                                    operational areas

  1615       Audit Team Caucus           1615       Audit Team Caucus

  1645       Daily Debrief               1645       Daily Debrief

  1715       Auditors Depart             1715       Auditors Depart
  ------------------------------------------------------------------------------

Note: During auditing in specified divisional areas, Auditors will be
evaluating the extent of the EMS/OSHMS implementation and the
effectiveness of the system in these functional locations.

\* Review of findings from previous audits will occur during the
appropriate period when those subjects are under review/discussion and
in the Divisions where they were identified.

#### Day 3 -- 21 June 2006

  -------------------------------------------------------------------------------
  **TIME**   **LOCATION/DEPT/FUNCTION     **TIME**   **LOCATION/DEPT/FUNCTION
             \***                                    \***
  ---------- ---------------------------- ---------- ----------------------------
  0815       Auditors Arrive              0815       Auditors Arrive

  0830       Prepare for and Audit in     0830       Continue/Complete BESD
             CAD, including                          
             Superconducting Magnet                  
             Division (E & O-4.3, 4.4.1,             
             4.4.2, 4.4.3, 4.4.4, 4.4.6,             
             4.5.1; O-4.5.2, 4.5.4,                  
             E-4.5.3, 4.5.5) -- Review               
             overall MS documentation and            
             program administration, then            
             interview/audit in                      
             operational areas                       

  1215       Lunch                        1215       Lunch

  1300       Audit Team Caucus            1300       Auditor Caucus

  1315       Continue CAD/Magnet          1315       Prepare for and Audit in
                                                     Physics Department (E &
                                                     O-4.3, 4.4.1, 4.4.2, 4.4.3,
                                                     4.4.4, 4.4.6, 4.5.1;
                                                     O-4.5.2, 4.5.4, E-4.5.3,
                                                     4.5.5) -- Review overall MS
                                                     documentation and program
                                                     administration, then
                                                     interview/audit in
                                                     operational areas

  1615       Auditors Caucus              1615       Auditors Caucus

  1645       Daily Debriefing             1645       Daily Debriefing

  1715       Auditors Depart              1715       Auditors Depart
  -------------------------------------------------------------------------------

Note: During auditing in specified divisional areas, Auditors will be
evaluating the extent of the EMS/OSHMS implementation and the
effectiveness of the system in these functional locations.

\* Review of findings from previous audits will occur during the
appropriate period when those subjects are under review/discussion and
in the Divisions where they were identified.

#### Day 4 -- 22 June 2006

  ------------------------------------------------------------------------------
  **TIME**   **LOCATION/DEPT/FUNCTION    **TIME**   **LOCATION/DEPT/FUNCTION
             \***                                   \***
  ---------- --------------------------- ---------- ----------------------------
  0815       Auditors Arrive             0815       Auditors Arrive

  0830       Continue/Complete           0815       Continue/Complete Physics
             CAD/Magnet                             

  1000       Prepare for and Audit in    1000       Prepare for and Audit in
             EENS (**EMS Only**; 4.3,               Instrumentation Division (E
             4.4.1, 4.4.2, 4.4.3, 4.4.4,            & O-4.3, 4.4.1, 4.4.2,
             4.4.6, 4.5.1; 4.5.3, 4.5.5)            4.4.3, 4.4.4, 4.4.6, 4.5.1;
             -- Review overall MS                   O-4.5.2, 4.5.4, E-4.5.3,
             documentation and program              4.5.5) -- Review overall MS
             administration, then                   documentation and program
             interview/audit in                     administration, then
             operational areas                      interview/audit in
                                                    operational areas

  1215       Lunch                       1215       Lunch

  1300       Audit Team Caucus           1300       Auditor Caucus

  1315       Continue/Complete EENS      1315       Continue/Complete
                                                    Instrumentation Division

  1615       Auditors Caucus             1615       Auditors Caucus

  1645       Daily Debriefing            1645       Daily Debriefing

  1715       Auditors Depart             1715       Auditors Depart
  ------------------------------------------------------------------------------

Note: During auditing in specified divisional areas, Auditors will be
evaluating the extent of the EMS/OSHMS implementation and the
effectiveness of the system in these functional locations.

\* Review of findings from previous audits will occur during the
appropriate period when those subjects are under review/discussion and
in the Divisions where they were identified.

#### Day 5 -- 23 June 2006

  ------------------------------------------------------------------------------
  **TIME**   **LOCATION/DEPT/FUNCTION    **TIME**   **LOCATION/DEPT/FUNCTION
             \***                                   \***
  ---------- --------------------------- ---------- ----------------------------
  0815       Auditors Arrive             0815       Auditors Arrive

  0830       Prepare for and Audit       0830       Prepare for and Audit Life
             Environmental Restoration              Sciences -- **EMS Only**
             Division -- **EMS Only --**            (4.3, 4.4.1, 4.4.2, 4.4.3,
             (4.3, 4.4.1, 4.4.2, 4.4.3,             4.4.4, 4.4.6, 4.5.1, 4.5.3,
             4.4.4, 4.4.6, 4.5.1, 4.5.3,            4.5.5) -- Review overall MS
             4.5.5) -- Review overall MS            documentation and program
             documentation and program              administration, then
             administration, then                   interview/audit in
             interview/audit in                     operational areas
             operational areas                      

  1215       Lunch                       1215       Lunch

  1300       Audit Team Caucus           1300       Audit Team Caucus

  1315       Complete ERD and Audit      1315       Complete Life Sciences and
             Trails Follow-up                       Audit Trails Follow-up

  1430       Report Preparation          1430       Report Preparation

  1630       Closing Meeting             1630       Closing Meeting

  1700       Auditors Departs            1700       Auditors Depart
  ------------------------------------------------------------------------------

Note: During auditing in specified divisional areas, Auditors will be
evaluating the extent of the EMS/OSHMS implementation and the
effectiveness of the system in these functional locations.

\* Review of findings from previous audits will occur during the
appropriate period when those subjects are under review/discussion and
in the Divisions where they were identified.