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DOE Office |
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The Stanford Linear Accelerator Center is the lead Department of Energy (DOE) laboratory for electron-based high energy physics. It is dedicated to research in elementary particle physics, accelerator physics and in allied fields that can make use of its synchrotron radiation facilities—including biology, chemistry, geology, materials science and environmental engineering. Operated on behalf of the DOE by Stanford University, SLAC is a national user facility serving universities, industry and other research institutions throughout the world. Its mission can be summarized as follows:
Perform world-class research in high energy physics, particle astrophysics and cosmology, and in the use of synchrotron radiation
Provide accelerators, detectors, instrumentation and support for national and international research programs in elementary particle physics and allied fields that use synchrotron radiation
Advance the art of accelerators and related devices through development of sources of high energy particles and synchrotron radiation, plus new techniques for their scientific utilization
Advance the critical technologies necessary to maintain its leadership and excellence in particle physics, accelerator physics, particle astrophysics and cosmology, and synchrotron radiation
Transfer practical knowledge and innovative technology to the private sector
Contribute to the education of the next generation of scientists and engineers, and to the scientific awareness of the public
Achieve and maintain excellence in matters of environmental concern and provide for the safety and health of its staff and the general public.
Functions
The Laboratory Safeguards and Security (LS&S) function supports the scientific mission of the Laboratory by providing the full range of security services (excluding police services). These services are further delineated, but are not limited to, the following:
Staffing
The LS&S functional area includes 2.5 (regular SLAC employee) FTE’s**, and 26 contractor FTE’s. One of the SLAC employees, the Functional Area Manager, is responsible for successful operation of the entire functional area, and is directly involved in the conduct of investigations, ISSM program, contract administration, supervision of the 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 in the preparation and filing of all administrative reports.
The second FTE is a Radiation Gate Officer who is responsible for controlling access to the Accelerator Area during the Graveyard Shift. The 0.5 FTE person is an Administrative Associate. This person provides support in the preparation of reports, distribution of traffic violation citations, and provides critical support in various 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.
** FTE – Full time equivalent
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 fiscal 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 is 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:
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| Minimize security incidents, property losses and theft; |
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| Ensure the protection of government and personal property; and |
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| Ensure the health and safety of SLAC personnel and the general public |
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 Objective 1.0 – Sustain and enhance the effectiveness of Integrated Safeguards and Security Management (ISSM). (Total Weight 60%)
Performance Criterion: 1.1
Safeguards and Security (SAS) is integrated into the culture of the organization for effective deployment of the management system.
Description:
This indicator will assess the degree to which the requirements and practice
of the Safeguards and Security management system are integrated into the
day-to-day operating culture of the Laboratory. The degree of integration will
be determined using the following measures:
Performance Measures
1.1a
(Weight: 60%)
· Implementation status of the Integrated SAS Management (ISSM) Action Plan Milestones/Objectives is on track with schedules.
· Customer satisfaction survey relative to SAS knowledge and acceptance/ involvement by Laboratory staff has positive results
· SAS requirements are adequately defined and disseminated to Laboratory staff
· The SAS self-assessment program and resulting corrective actions will be conducted in accordance with applicable requirements and expectations.
Definitions:
SAS Assets (also referred to as “security interests”): A general term for
any DOE or Stanford Asset, resource, or property, which requires protection from
malevolent acts. It may include (but is not limited to) sealed sources,
intellectual property and Official use only, business, or technical information,
precious metals, high value items, general property and facilities, and
controlled substances.
Performance Assumptions:
There are no significant changes in requirements. There are no significant
changes in SAS assets at the Laboratory.
Performance Gradient:
Outstanding:
95%-100% of Milestones/Objectives for ISSM Action plan are on track with schedules; an increase in positive results on the customer awareness survey relative to SAS;
90%-100%; Self-assessments will be completed/actions completed in accordance with developed/managed schedules
Excellent:
85%-94% of Milestones/Objectives for ISSM Action plan are on track with schedules; Results from customer satisfaction survey relative to SAS remain consistent with baseline survey results;
80%-89% Self-assessments will be completed/actions completed
Good:
75% - 84% of Milestones/Objectives for ISSM Action plan are on track with schedules; Results from customer satisfaction survey relative to SAS will not drop more than 10% from the baseline survey results;
70%-79% Self-assessments will be completed/actions completed
Marginal:
Less than 75% of Milestones/Objectives for ISSM Action plan are on track with schedules; Results from customer satisfaction survey drop (negative results) more than 10% from baseline survey
Unsatisfactory:
No Action taken.
Performance Results
We are pleased to report that SLAC accomplished all of its goals toward improved ISSM awareness during FY 2004. Several initiatives were undertaken to make this program successful:
1. Three (3) Focus Groups (each from a different staff level) were convened to look at satisfaction with the current ISSM program and to solicit feedback on the best way to proceed.
2. Safety/Security-related articles were published during the year in “The Interaction Point” (TIP) newspaper as part of our Integrated Management approach.
3. A major “Integrated Management” Briefing and Expo (combining ISSM and ISMS) was held in three separate sessions in the Panofsky Auditorium – the auditorium was filled to capacity for each session.
Focus Groups
Three focus groups were convened in February 2003. We obtained very valuable feedback on our program on the following themes:
Satisfaction Survey/Questions from the Focus Groups:
For this first year, we did not give numerical values to the answers provided to our questionnaires, therefore, our data are not numerical for this report. We wanted to get an idea of the major issues of concern so we could do the analysis and come up with a meaningful numerical scale for the FY 2004 self-assessment.
That said, we received excellent responses and several issues came forward. The following are the top 10 items that, in the opinion of the Focus Groups, were of primary concern:
Provide exact procedure on what to do in event of emergency (Note: In process. Emergency Operations Team is working on this. Ongoing)
A spreadsheet of all responses to the questions and discussion in these Focus Groups is available on request.
Safety and Security Articles in The Interaction Point
Security awareness was highlighted in several TIP articles over this past year. These articles were an excellent source of information for our staff and they encouraged telephone calls and e-mails to our security staff on specifics. This increased dialogue encourages us to continue this trend into FY 2004. The listing below shows the articles published this year on the topic.
January 2003 – “Enhanced Security Measures at
Shipping and Receiving”
February 2003 – “New Gate House to be Built at SLAC Main Gate”
February 2003 – “Property Control in the Headlines”
March 2003 – “DOE Security Condition Levels Explained”
September 2003 – “New Gate House Opens”
September 2003 – “Integrated Management Expo and All Hands Briefing: Monday,
September 22”
Annual Safety and Security Briefing (ISSM)
Approximately 1,000 staff attended the 2nd Annual SLAC “Safeguards and Security Briefing” which was held on September 22nd in the Panofsky Auditorium. This 90-minute briefing was tailored to deliver practical information about SLAC’s safety and security programs that anyone could use both at work and at home.
Emphasis was placed on the integration of safety plus security into daily activity regimens and the term “Integrated Management” was used to support this concept. Presentations included site safety and security, property protection, computer security, OSHA oversight, fire prevention, emergency preparedness and response, and counterintelligence.
Attendees were asked to fill out surveys asking for their opinion on the future direction of SLAC’s Integrated Safety Management Systems (ISMS), and Integrated Safeguards and Security Management (ISSM) programs. The results of the 347 returned surveys will be posted on the SLAC ISM and ISSM websites. The opinions expressed will be analyzed by the Directorate as they plan ahead for the “next best steps” in these areas.
Survey responses indicated that many felt the briefing was effective in getting the message out. Here is a sampling of comments we received…...“These briefings are a pretty priceless way of getting meaningful information. Thanks for keeping them short.”………“The program has been well thought out and presented. A lot of work has gone into this program and it shows.”
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Hundreds of staff learned more about the many aspects of Security and Safety at the "Expo" tables provided at the event. |
This photograph shows one of the 3 "full house" sessions of the "2003 Integrated Management Briefing" held in September 2003. |
The “Integrated Management Expo” tables were set up in the breezeway as an adjunct to the Annual Briefing. These tables were well-received by the staff. Attendees were given many helpful handouts such as office calendars and key tags showing the emergency information hotline phone number. Each table was manned by a subject matter expert who was available to discuss security and safety issues and answer questions.
Documentation
All documents supporting SLAC’s Safeguards and Security program are available on request.
Overall Rating For Performance Objective 1.0
In this area of the self-assessment, we feel that the laboratory has met 95% - 100% of the Milestones/Objectives for ISSM. We remained on track with schedules; saw an increase in positive results on the customer awareness surveys relative to SAS and have significantly increased awareness of our program. We rate ourselves in this area as “Outstanding”.
Performance Objective: 2.0
Sustain and enhance the effectiveness of Integrated Safeguards and Security (SAS).
(Total Weight 40%)
Performance Criterion 2.1
Emerging threats are identified, reported, and mitigated as necessary (Weight 40%)
Description: This indicator will assess the Laboratory’s ability to identify, report and mitigate, as necessary, any emerging threats. Performance against this indicator will be measured using the following parameters and the criteria specified in the Performance Evaluation section, below.
Performance Measure:
Definitions:
Incidents of security concern are:
Any actions or inactions that—
Significant incidents of a security concern:
Performance Assumptions:
There are no significant changes in requirements. There are no significant changes in SAS assets at the Laboratory.
Performance Gradient:
Outstanding:
Excellent:
Good:
Marginal:
Unsatisfactory:
Performance Narrative:
Safeguards and Security Terrorism Response
The SLAC Manager of Safeguards and Security (LS&S) continues to work closely with SLAC senior management, DOE HQ, and other Federal, State, and local Law Enforcement agencies 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 any changes to site security procedures when appropriate. Approved Badge/ID access controls remained in effect throughout FY 2003. “Outstanding”.
SLAC I.D. Badges
The maintenance of the SLAC Badge (DOE Common Badge) continues without difficulty. The new badge is an integral part of the personnel identification system and is in keeping with the increased site security practiced since the terrorist attacks of September, 11 2001. This badge also serves as verification of various levels of safety training status which is required for access to the Accelerator area. We have a 100% completion record in this area, resulting in a rating of “Outstanding
Site Access
Unrestricted access by members of the public, contractors, and visiting scientific users, and employees to the Main Campus area of the site is allowed during normal work hours, Monday through Friday. However, the driver of the vehicle is required to show a valid drivers license for University liability reasons. All persons wishing to enter the Accelerator area of the site (employees, visitors, sub-contractors, visitors, etc.) are required to show a SLAC Photo I.D. Badge with the training level displayed, or a Red Visitor’s Badge while accompanied by a badged SLAC employee.
After normal work hours, weekends and holidays, non-staff, contractors, and members of the public are questioned regarding their destination. A SLAC point-of-contact is contacted for verification of the visit prior to the person(s) being granted entry into the site. Escorts are provided when deemed appropriate. If the SLAC point-of-contact is not available, site entry is denied, and a report is prepared.
Various symposia, conferences, and workshops sponsored by SLAC Points-of-Contact are conducted for members of the public throughout the year. The SLAC Public Affairs Office is responsible for coordinating these activities with SLAC Safeguards and Security. Additionally, scheduled tours for interested members of the public are conducted without restrictions throughout the year. However, close coordination is maintained between SLAC Public Affairs and Safeguards and Security during the conduct of these tours. Performance in this area has been “Outstanding.”
Overall Rating For This Performance Objective 2.0
In this area of the self-assessment, we feel that the laboratory has met 100% of the criteria for Performance Objective 2.0, and has responded immediately to all incidents and made any necessary changes. Emerging threats were identified, reported, and mitigated as necessary. In this area, we have achieved an overall rating of “Outstanding.”
Other Significant Accomplishments in Safeguards and Security for FY 2004
The SLAC Guest House
The SLAC Guest House was officially opened in June 2003. This facility has 112 guest rooms available to members of the Stanford University community. Since SLAC is considered a part of the Stanford campus, and in keeping with our policy of unrestricted access for those with proper identification, our overall site access procedures are working very well despite this increase in non-SLAC visitors.
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Exterior of the new SLAC Guest House |
Lobby of the SLAC Guest House |
Guests at this new facility vary widely. The majority of guests are SLAC scientific visitors, users, and collaborators, with an especially high population occurring during major conferences, meetings, reviews, and symposia. Other guests include individuals associated with other departments of Stanford University, families of patients being treated at Stanford Medical Center and Children’s’ Hospital, and a variety of other Stanford-associated guests.
To date, the presence of this new population has created no additional workload nor have we encountered additional problems. The transition has gone smoothly. We have received very favorable comments from the Guest House management about the professional, courteous, and responsive service provided at our front gate.
Packages Into SLAC
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.
New Guard House at The Sand Hill Road Entrance
A new Guard House was constructed at the SLAC Main Gate (entrance from Sand Hill Road) during this fiscal year. This improvement has aided our security efforts significantly. We now have an updated fire alarm monitoring system, upgraded electrical, telecommunications, security lighting, near 360-degree visibility of the surrounding area, and increased workspace for our staff.
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The new SLAC Guard House helps us do a more effective job in the Safeguards and Security area. |
This new facility has also improved the overall appearance at SLAC’s entrance. This enhances the professionalism we strive to exhibit at all times when we greet the thousands of staff and visitors to SLAC.
Overall Rating For This Area
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 overall rating is "Outstanding."
Traffic Control for FY 2003
Our goal is to have the average speed for cited violations to continue downward to approach the speed limit. This has been accomplished.
Chart 1
For the second consecutive year, the average speed cited on the SLAC site has remained at 32 mph showing a continued awareness in road safety by vehicle operators. Approximately 2,500 automobiles, trucks, electric carts and bicycles traverse the SLAC streets and byways. We see multiple trips by these vehicles each day which increases the actual number of vehicle trips to an estimated 3,300 vehicle trips daily. Approximately 1/3 of this number or ~ 800 vehicles travel the site on weekends.
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, Scientific Users, Visitors and members of the Public who are not familiar with our speed limits. The increased daily mobile Security Force presence, coupled with the use of three separate radar speed units, have served to emphasize the traffic safety program, and it serves as a visible reminder to the population that a traffic control program is in effect.
The vehicle registration program continues to operate at normal levels with the expected number of cancellations (sales of vehicles), new permits, etc. 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 a SLAC-unregistered vehicle. We continue to encourage all SLAC staff to register their vehicles with us.
Neither multiple moving vehicle nor any vehicle injury collisions occurred on the SLAC site during FY 2003. This area has accomplished "Outstanding" results.
Theft & Missing Items Figures for FY03
The FY 2003 theft figures show an increase over those reported for FY 2002. We see two primary causes of the increase in losses this year --
-- Failure to properly store and secure materials or equipment
-- Losses experienced off-site while in travel status (vehicle break-in and home burglary)
The property covered by the reports include; SLAC controlled, SLAC non-controlled, and personal or other University-owned property. The total replacement dollar amount of theft or un-recovered missing property reported to LS&S for FY 2003 was $42,616.69. Of this amount, $4,246.69 was due to off-site theft investigated by the appropriate law enforcement agencies.
The modified dollar amount (on-site losses) for FY 2003 is $38,370.00. One missing high dollar item, a high performance electronic imaging camera (with an acquisition value in 1992 of $21,075), is believed to have been misplaced during the major experimental dismantling and reconstruction of SPEAR III. We believe this item will be found on-site since it has no commercial function and cannot be operated apart from very specialized experimental apparatus.
Chart 2
The recent site-wide "Annual Safety and Security Briefing" combined with an increase in publicity programs reminding employees of their property custodian responsibilities should bring this figure down in the future.
Respond quickly and appropriately to all security concerns. Specifically:
Continued implementation of the Integrated Safeguards and Security Management (ISSM) program in combination with Environmental Safety and Health in a combined "Integrated Management" program.
Look for innovative ways to enhance our publicity program for theft minimization.
Maintain effective traffic control and strive for more reductions in speeding on site.
Continue to coordinate security services to the Guest House population and use this as a model for the planned Kavli Institute facility which will be completed in Fiscal Year 2005
Continued rapid and accurate ID Card issuance.
Continued effective control of our visitor population (contractors, temporary workers, and visiting scientists.)
Continuation of Security notification to the SLAC population.
Continue corrective action planning, and closure/validation of self-assessment.
