INDEX
CHAPTER III
GENERAL SURVEY REQUIREMENTS
1. PURPOSE. To provide the basis for evaluating the adequacy and
effectiveness of safeguards and security programs and the protection
afforded DOE safeguards and security activities.
2. TYPES OF SURVEYS.
a. Initial Survey. An onsite examination of a facility prior to
granting facility approval.
b. Periodic Survey. An onsite examination of a facility conducted at
scheduled intervals.
c. Special Survey. An onsite examination of a facility conducted for
a specific purpose.
d. Termination Survey. An onsite examination of a facility conducted
when the safeguards and security activities are removed from a
facility or the contractor is changed for a facility, or to assure
proper disposition of nuclear material and closeout of records.
e. Shipment Survey. An examination of protection afforded security
interests during shipment.
3. COVERAGE.
a. Initial and Periodic Surveys cover the protection afforded DOE
safeguards and security interests within a facility, including an
evaluation of the adequacy and effectiveness of material control
and accountability (MC&A) and security programs and a thorough
examination of policies and procedures to ensure compliance/
performance with appropriate safeguards and security directives
and agreements. All facilities are subject to the compliance and
performance segments of surveys, as described in Chapters IV and
V.
b. Special Surveys evaluate the following:
(1) Existing protection for additional activities;
(2) Need for changes in material control and accountability and
security procedures and measures due to changing conditions;
and
(3) New material control and accountability and security measures
taken as a result of findings identified under a previous
survey(s).
c. Termination Surveys evaluate actions taken to ensure termination
of safeguards and security interests, execution of an appropriate
security termination statement, and submission of a certificate of
possession or nonpossession, as appropriate. Termination of
facility approvals for Class "A" facilities, facilities possessing
classified material, and/or SNM, require an onsite termination
survey. For other facilities, termination may be by survey or
correspondence.
d. Shipment Surveys provide a basis for evaluating the adequacy of
protection afforded DOE classified matter or SNM during shipment.
Shipments which move between sites by rail, truck, air, or ship
are subject to survey based on an approved security plan unless
the shipment is made via a commercial carrier(s) licensed by the
Nuclear Regulatory Commission (NRC). Movements of SNM between
security areas at the same site shall be surveyed during the
security survey of the site protection system. Each type of
security shipment shall be surveyed initially and at least once
every 12 months thereafter by the organization having
administrative jurisdiction over the shipment. Shipment survey
reports shall provide sufficient detail to enable a proper
evaluation of the report and its findings.
4. PRE-SURVEY PLANNING AND SCHEDULING. Certain activities should be
accomplished prior to the conduct of a security or nuclear materials
survey. These are normally done by the surveying organization, the
responsible organization (if different from the surveying), the
facility being surveyed, and SA-10. The following activities are
necessary:
a. Determine the extent of, and establish procedures for, reviewing
exceptions and other program departures.
b. Review files for relevant information, issues, and topics to
include in the survey. Such files include those pertaining to:
previous surveys, security and MC&A plans, exceptions, and
correspondence.
c. Define the scope of the survey by identifying the program areas to
be inspected, the methodology, and the resources to be used. The
scope should allow for review of areas of concern that may arise
during the survey process.
d. Coordinate all planned survey activities in advance with parties
involved in advance and establish communications channels. Such
coordination should specifically include an agreed participation
in a pre-survey briefing.
e. Schedule the survey to allow prioritization of and changes to
survey coverage of facilities.
5. COORDINATION OF NUCLEAR MATERIALS AND SECURITY SURVEYS.
a. Security and nuclear materials surveys may be conducted
simultaneously or separately. When performed separately, the
surveying organization shall prepare an agreement outlining the
responsibility of each survey that include the following:
(1) Assessing system performance against applicable threats;
(2) Evaluating different components of the safeguards and
security system; and
(3) Rating items on Headquarters-approved survey report forms
(DOE F 5634.2, "Safeguards and Security Survey Report" (see
Attachment III-1)).
b. When nuclear materials and security surveys are conducted
separately at Class "A" and "B" facilities, they should be
performed within a 2-month period.
6. SURVEY DOCUMENTATION AND REPORTS.
a. The survey report shall describe the state of the safeguards and
security program. The report shall reflect the ratings on
Headquarters-approved survey report forms as well as the
performance ratings based upon exercises, where appropriate. As
locally determined, work papers shall support the contents of the
survey report.
b. The narrative portion of the survey report shall outline strengths
and weaknesses, correlate the results from the compliance and
performance (where required) survey segments, and discuss both
compliance and performance ratings. The report shall explain in
detail the factors responsible for the assignment of a less than
satisfactory rating.
c. Findings shall be identified and correlated with items on the
survey report forms approved by SA-10. The terms "findings" and
"suggestions" may be used in the survey report. The term
"finding" shall be used to refer to deficiencies, or concerns
reached during the survey. The term "suggestion" may be used to
refer to non-mandatory potential program enhancements for
observations cited in the survey report.
d. Survey results shall be validated by discussion, observations, or
exercises during the survey process to ensure accuracy.
e. As determined locally, survey work papers pertaining to findings
not fully documented in the survey report should be retained, as a
minimum, until the next survey is completed.
f. Survey observations of conditions in facility operations systems
which may adversely impact the health and safety of employees
and/or the public shall be reported expeditiously to management
and the responsible organization's environmental, safety, and
health organization for follow-up action.
g. Survey reports for Class "PP" facilities and terminations may be
in memoranda form.
h. Findings shall be documented and monitored until resolved.
Quarterly reporting on unresolved findings shall be made by the
responsible organization to the cognizant Secretarial Officer(s)
and SA-10. The first quarterly report shall be issued not later
than 90 days after receiving written corrective action information
from the surveyed facility.
7. DISTRIBUTION.
a. Within 60 working days after the completion of the survey, the
surveying organization(s) shall forward one copy of each survey
report to the responsible organization, one copy to SA-10, copies
to the appropriate Secretarial Officer(s), and one copy to the
surveyed organization, as determined locally.
b. Heads of Field Elements or SA-10 (for Headquarters) may make
internal distribution of survey reports, as appropriate.