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DOE Office |
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Date of last assessment: October 2001
Departmental Overview
Laboratory Mission
The Stanford Linear Accelerator Center (SLAC) is dedicated to experimental and theoretical research in elementary particle physics and in those fields that make use of its synchrotron radiation facilities, including biology, chemistry, geology, material science and electrical engineering. This includes the development of new techniques in particle acceleration and detection, and of synchrotron radiation sources and associated instrumentation. The Center is operated as a national user facility for the Department of Energy by Stanford University.
Organizational Mission:
The Laboratory Safeguards and Security (LS&S) function supports the scientific mission of the Laboratory by providing a full range of security services excluding police services. These services are further delineated, but are not limited to the following subgroups:
The LS&S functional area includes two full time employees, one part time employee, and 25 contractor employees. One full time employee, the functional area manager, is responsible for successful operation of the entire functional area, and is personally responsible for the conduct of limited investigations, ISSM program maintenance and support, security services contract administration, direct supervision of 25 person contract security force, surveillance camera installation and operation, electromechanical and electronic door access installation and control, specialized security force training, special support to the U.S. Secret Service and the F.B.I. during dignitary visits, and preparation and filing of all administrative reports.
The second full time employee is a Radiation Gate Officer who is responsible for access to the Accelerator Area during the Graveyard Shift. The part time employee is an administrative assistant and provides support primarily in the preparation of reports and distribution of traffic violation citations, and limited support involving other administrative functions.
The contract Security Force provides coverage of various elements of the functional area through shift operations 24 hours per day, 365 days per year as directed by the functional area manager.
Identification of Self-Assessment Report Staff
Names, Titles, Affiliations of Participants
Richard P. Yeager, Manager, Safeguards and Security
Scope of Self-Assessment
This report represents the results of the LS&S functional area self-assessment, an ongoing process begun as part of the Business Management Oversight Pilot established by DOE in March 1995, and continued by Executive Order as part of DOE Performance Based Management. Assessment materials were collected from data collected over the past year, followed by a process of creative action planning, closure/validation of findings, analysis, and report writing. The LS&S functional area self-assessment is based on and measured against performance measures currently agreed to between SLAC and DOE/OAK in order to address customer satisfaction, cost efficiency, and contract compliance.
Discussion of Individual Performance Objectives
The objectives of the safeguards and security performance measures are to:
Performance Objective 1.0 – Protection of Assets
Minimize the number of security incidents and loss amounts. Report and document steps taken to alter adverse activity. SLAC will conduct safeguards and security operations to ensure effective protection of proprietary information, personnel, property, and the general public.
Performance Criterion: 1.1
Through cost-effective utilization of tools and procedures, establish a Safeguards and Security program that minimizes incidents and loss amounts while providing data to track how SLAC is performing and to identify which elements need most attention.
Performance Measure 1.1a (Weight: 35%)
Maintain data on implementation of Safeguards and Security for:
Performance Assumptions
A site security plan, acceptable to DOE has been developed, implemented, and is updated annually.
Performance Gradient:
The performance gradient in this Measure 1.1a shall be based on how effectively the contractor develops a meaningful set of objective criteria to implement the above data of Safeguards and Security in a form of a management tool in program elements that require attention.
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Outstanding |
90%-100% |
Contractor has documented excellent and meaningful data that address all applicable aspects of security incidents and loss criteria |
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Excellent |
80%-89% |
Contractor has documented excellent and meaningful data that address 80% of security incidents and loss criteria |
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Good |
70%-79% |
Contractor has documented meaningful data that address a majority (>60%) of security incidents and loss criteria |
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Marginal |
60%-69% |
Contractor has been unsuccessful in documenting meaningful data, however there is evidence of a good-faith effort by the Contractor to do so. |
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Unsatisfactory |
<60% |
No evidence of good-faith effort by the Contractor to obtain meaningful data in this area. |
Performance Results
Performance Narrative:
Badge and Dosimeter:
The maintenance of the SLAC Badge (DOE Common Badge) implemented during FY01, continues without difficulty. Establishment of this badge was based on a Safeguards and Security directive from the DOE that all DOE laboratories doing unclassified scientific and technical work must adopt a “common badge”. Site wide implementation of the new badge was completed by 31 December 2001. The new badge has been an integral part of the personnel identification facet of the increased site security brought on by the terrorist attacks of 11 September 2001. This 100% completion record results in a rating of Outstanding.
Safeguards and Security Terrorism Response:
SLAC Safeguards and Security (LS&S) responded immediately to the September 11, 2001, terrorist attacks on the United States and continues to work closely with SLAC senior management and DOE HQ, to maintain, a risk based approach to tightened security at the site. Regular “All Hands” e-mails and other notifications are provided to all staff, visiting scientific personnel, and contractor personnel by the Laboratory Directorate informing them of changes to site security procedures as required. Tightened Badge/ID access controls implemented immediately subsequent to the 9/11/01 terrorist attacks on the United States remain in effect.
Previous unrestricted Main Campus access by contractors and members of the public has been terminated. All persons wishing to enter the site (employees, visitors, sub-contractors, visitors, etc.) are now required to show a SLAC Badge or photo ID (if not SLAC staff). Non-staff, contractors, and members of the public are questioned regarding their destination and a SLAC point-of-contact is contacted for verification of the visit and escort prior to the person(s) being granted entry into the site.
Scheduled tours for interested members of the public are still conducted, however photo ID requirements and close coordination between SLAC Public Affairs and Safeguards and Security during the tours is maintained. Mailroom and Shipping/Receiving Department employees have participated in instruction sessions on handling suspicious mail/packages. They have also been supplied appropriate personal protection items (e.g. latex gloves) to use if they desire.
In this area of the self-assessment, we feel that the laboratory has met 100% of the criteria and has responded immediately to all changes. In this area, the rating is Outstanding.
Traffic Control for FY-02
FY97 Speeding Violations issued - 289 avg. speed 35
FY98 Speeding Violations issued - 138 avg. speed 33
FY99 Speeding Violations issued - 188 avg. speed 33
FY00 Speeding Violations issued - 33 avg. speed 33
FY01 Speeding Violations issued - 43 avg. speed 33
FY02 Speeding Violations issued - 30 avg. speed 32
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Our goal is to have the average speed for violations to continue downward to approach the speed limit. This has been accomplished.
The average speed on the SLAC site has dropped to 32 mph showing a continued increase of awareness in road safety by vehicle operators. Approximately 2,500 automobiles, trucks, electric carts and bicycles traverse the SLAC streets and byways multiple times on any given work day which increases the actual number of vehicle trips by about 1/3. This reflects almost 3,333 vehicle trips daily, Monday through Friday with approximately 1/3 the number, or 833 vehicles on the site on Saturday and Sunday.
These vehicles are driven, for the most part, by SLAC employees who are familiar with the site and the speed limits. Other drivers are contractors and Scientific Users and Visitors and members of the Public who are not familiar with our speed limits. The continuation of the increased daily mobile Security Force presence coupled with the use of three separate radar speed units have served to emphasize the program, and to visibly remind the population that a traffic control program is in effect. The vehicle registration program continues to evolve.
When vehicles driven by SLAC staff enter the Main Gate without registration decals, notices are handed to the vehicle operator by the Main Gate Security Officers, and by Patrol Officers when they have reason to approach a driver with an unregistered vehicle.
This area has accomplished Outstanding results.
Theft Figures for FY02
The FY02 theft figures have shown the first increase since FY00. The primary cause appears to be an unintentional failure to secure materials or equipment, and losses experienced off site while in a travel status through vehicle break-in, airport theft, and shipping loss. While still extremely low for a site of this size, any increase in the theft rate is cause for concern. The recent site wide implementation of the ISSM program and an increase in multi-media publicity programs reminding employees of their security responsibilities should bring this figure back to a lower level.
The property covered by the reports included SLAC controlled, SLAC non-controlled, and Personal or other University property. The total replacement dollar amount of theft or un-recovered missing property reported to LS&S for FY02 was $12,059.81. Of this amount, $5,212.79 was due to off site theft, and an additional $1,872.16 was a laptop computer shipped to SLAC by the manufacturer, but no verified evidence of receipt could be found. The modified dollar amount for FY02 then is $4,974.86. The replacement dollar amount of theft or un-recovered missing property during FY01 was $1,840, FY00 was $2,229, FY99 was $7,744; FY98 was $15,780; and, for FY97 was $71,869.
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Performance Objective 2.0 – Self-Assessments
To promote continuous improvement, SLAC will conduct safeguards and security program self-assessments and implement corrective actions for self-assessment findings, with the goal of timely and aggressive correction.
Performance Criteria: 2.1 – Internal Self-Assessments
The SLAC Safeguards and Security program will perform comprehensive self-assessments of management systems, operational practices and internal controls as defined by applicable topical and sub-topical areas.
Performance Measure : 2.1a – S&S Self-Assessment (Weight: 30%)
An effective self-assessment program, meeting requirements of DOE Order 470.1, Safeguards and Security Program, Chapter X, and DOE Guide 470.1-2, Safeguards and Security Survey and Self-Assessment Guide, shall be in place to identify compliance toward meeting self-assessment requirements of topical and sub-topical areas.
Performance Assumptions
1. A site security plan, acceptable to DOE, has been developed, implemented, and is updated annually.
2. The safeguards and security self-assessment program, as mutually agreed upon between SLAC and DOE, will annually address applicable topical and sub-topical areas as reflected in DOE Form 5634.1, Safeguards and Security Survey Report.
Performance Gradient
Outstanding: All surveys complete, accurate and timely
Excellent: 80%-99% timely completion of corrective actions
Good: 70%-79% timely completion of corrective actions
Marginal: 60%-69% timely completion of corrective actions
Unsatisfactory: < 60% timely completion of corrective actions
Performance Results
Performance Narrative
The LS&S functional area manages the reduction of security incidents and property losses and theft to ensure the protection of government, university, and personal property, and the health and safety of SLAC personnel, contractors, visiting scientific personnel and the general public.
The heightened awareness and continued vigilance of site security since 9/11/01, by both the LS&S Protective Force, and members of the SLAC staff in general reflects a marked concern regarding a potential terrorist threat which enhances our ability to respond to such an event should it occur. The figures reflected above in traffic violations is indicative of a ongoing viable traffic control program.
Despite the slight increase in theft during FY02, an effective physical security program is in place. Several factors continue to impact all LS&S programs; an increased Security Force surveillance presence on site 24 hours per day, seven days per week; an increase in the number of installed security cameras in several locations; and a continued reduction in the number of long term outside contractors.
Other factors include an ongoing multi-media publicity program recently enhanced by the introduction of the ISSM Program site wide regarding site security. Other factors, while not directly related to SLAC, include the slight increase this past year of theft nationwide as reported by the Federal Bureau of Investigation.
Performance Criteria 2.2 – Corrective Action Planning
A deficiency management program will be in place to ensure corrective actions for discovered deficiencies are developed and completed in a timely fashion.
Performance Measure 2.2a – Corrective Action Completion (Weight: 35%)
Percent of on-schedule corrective action plans resulting from the SLAC Self-assessment findings/issues.
Performance Assumptions
A corrective action plan will be considered completed at the time that the action is documented and completed on schedule.
When a corrective action plan is dependent upon an action (other than validation), that must be completed by an outside agency that SLAC has no direct control over the subject corrective action will not be tabulated as part of the overall percentage.
If a corrective action plan has multiple milestones and the final milestone is scheduled for completion on a date beyond the assessment period, credit for the corrective action plan being on schedule will be awarded if the last milestone that is scheduled for completion during this assessment period has been completed on schedule.
Findings that have corrective action plans with milestones that are not due within the assessment period will be assumed to be on schedule and full credit will be awarded for work in progress.
Performance Results/Narrative
During this rating period, no major deficiencies requiring a corrective action plan were noted and, therefore, no corrective action plans were necessary. However, we would like to point to our very successful implementation of the Integrated Safeguards and Security Management (ISSM) program at SLAC as indicative of our continued efforts at excellence in this area. The ISSM program, mandated by the DOE has resulted in excellent feedback from our staff and the Directorate will respond with a continuing ISSM program suited to SLAC’s security needs.
Integrated Safeguards and Security Management
The Detailed Progress Report for ISSM Implementation at SLAC is attached for review. Over 800 SLAC staff attended the 1st Annual SLAC Security Briefing which was held on September 26th in the Panofsky Auditorium. This one-hour briefing was designed to present practical information about SLAC’s safeguards and security program, in addition to providing helpful tips anyone could use both at work and at home. Presentations included site access, property protection, cyber security, emergency preparedness, and foreign travel tips in a post-9/11 environment.
Attendees were asked to fill out surveys asking for their opinion on the future direction of SLAC’s Integrated Safeguards and Security Management (ISSM) program. The results of the 325 returned surveys will be posted on the ISSM website. The opinions expressed will be analyzed by the Directorate as they plan ahead for the “next best steps” in this area.
Survey responses indicated that many felt the briefing was an hour well-spent. One sample answer: ”It conveyed real commitment even though the impetus came from DOE”. The survey responses also showed that 96% of SLAC staff members felt confident that his/her supervisor would take security concerns seriously and would take appropriate action.
The “ISSM Expo” tables set up in the breezeway as an adjunct to the Annual Briefing garnered several positive comments from staff. Attendees were given many helpful handouts, plus ISSM promotional items such as calendars and key tags.
Documentation
The Detailed Progress Report for ISSM Implementation at SLAC is provided in an Appendix to this report.
All other documentation in the Safeguards and Security area is available on request.
Goals for FY03:
Respond quickly and appropriately to the continuing increased security concerns in effect since the September 11, 2001 terrorist attacks on the United States.
For Questions or comments, Please contact Ziba Mahdavi, Last Updated 10/30/02