Definitions
Accident means an Event that involves any of the following: a loss of life; a report of a serious injury to a person; a collision of public transportation vehicles; an evacuation for life safety reasons.
Accountable Executive means the single, identifiable person who has ultimate responsibility for carrying out the Public Transportation Agency Safety Plan of the Agency; responsibility for carrying out the Agency’s Transit Asset Management Plan; and control or direction over the human and capital resources needed to develop and maintain both the Agency’s Public Transportation Agency Safety Plan, in accordance with 49 U.S.C. § 5329(d), and the Agency’s Transit Asset Management Plan in accordance with 49 U.S.C. § 5326.
Agency or Transit Agency means the City of Thousand Oaks.
Board or Board of Directors means the City of Thousand Oaks City Council City Council means governing body of the City of Thousand Oaks Caltrans means the California Department of Transportation Chief Safety Officer means the adequately trained individual who has responsibility for safety and reports directly to the Transit Agency’s chief executive officer.
CFR means Code of Federal Regulations.
Event means any Accident, Incident, or Occurrence.
FTA means the Federal Transit Administration, an operating administration within the United States Department of Transportation.
Hazard means any real or potential condition that can cause injury, illness, or death, damage to or loss of the facilities, equipment, rolling stock, or infrastructure of the system, or damage to the environment.
Incident means an Event that involves any of the following: a personal injury that is not a serious injury, one or more injuries requiring medical transport, or damage to facilities, equipment, rolling stock, or infrastructure that disrupts the operations of the Transit Agency.
Investigation means the process of determining the causal and contributing factors of an accident, incident, or hazard, for the purpose of preventing recurrence and mitigating risk.
National Public Transportation Safety Plan means the plan to improve the safety of all public transportation systems that receive federal financial assistance under 49 U.S.C. Chapter 53.
Occurrence means an Event without any personal injury in which any damage to facilities, equipment, rolling stock, or infrastructure does not disrupt the operations of the Transit Agency.
Part 673 means 49 CFR (Code of Federal Regulations) Part 673.
Performance Measure means an expression based on a quantifiable indicator of performance or condition that is used to establish targets and to assess progress toward meeting the established targets.
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Performance Target means a quantifiable level of performance or condition, expressed as a value for the measure, to be achieved within a time period required by the Federal Transit Administration (FTA).
Risk means the composite of predicted severity and likelihood of the potential effect of a hazard.
Risk Mitigation means a method or methods to eliminate or reduce the effects of hazards.
Safety Assurance means processes within the Agency’s Safety Management Systems that function to ensure the implementation and effectiveness of safety risk mitigation, and to ensure that the Transit Agency meets or exceeds its safety objectives through the collection, analysis, and assessment of information.
Safety Management Policy means the Agency’s documented commitment to safety, which defines the Transit Agency’s safety objectives and the accountabilities and responsibilities of its employees in regard to safety.
Safety Management Systems (SMS) means the formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of an Agency’s safety risk mitigation. SMS includes systematic procedures, practices, and policies for managing risks and hazards.
Safety Performance Target (SPT) means a Performance Target related to safety management activities.
Safety Promotion means a combination of training and communication of safety information to support SMS as applied to the Transit Agency’s public transportation system.
Safety Risk Assessment (SRA) means the formal activity whereby the Agency determines Safety Risk Management priorities by establishing the significance or value of its safety risks.
Safety Risk Management (SRM) means a process within the Agency’s Public Transportation Agency Safety Plan for identifying hazards and analyzing, assessing, and mitigating safety risk.
Serious injury means any injury which: (1) requires hospitalization for more than 48 hours, commencing within seven days from the date the injury was received, (2) results in a fracture of any bone (except simple fractures of fingers, toes, or noses), (3) causes severe hemorrhages, nerve, muscle, or tendon damage; (4) involves any internal organ, or (5) involves second or third- degree burns, or any burns affecting more than five percent of the body surface.
State of Good Repair (SGR) means the condition in which a capital asset is able to operate at a full level of performance.
Transit Asset Management Plan means the strategic and systematic practice of procuring, operating, inspecting, maintaining, rehabilitating, and replacing transit capital assets to manage their performance, risks, and costs over their life cycles, for the purpose of providing safe, cost- effective, and reliable public transportation, as required by 49 U.S.C. 5326 and 49 CFR part 625.
U.S.C. means United States Code.
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Section 1 - Transit Agency Information
City of Thousand Oaks (hereinafter referred to as “City”) is a municipal corporation formed by the Municipal Authorities Act of 1945 etc. which operates fixed mode and demand response transportation in Ventura County, California. The City contracts with MV Transportation for transportation services. The City is a recipient/subrecipient of FTA Section 5307 and 5310 funds. The City provides transportation services on behalf of the Cities of Agoura Hills, Moorpark, Westlake Village and portions of the County of Ventura.
1.1 - Accountable Executive
The City’s Accountable Executive is Clifford G. Finley, Public Works Director. The Public Works Director is the single, identifiable person who has ultimate responsibility for carrying out this Agency Safety Plan and the City’s Transit Asset Management (TAM) Plan. The Public Works Director has control or direction over the human and capital resources needed to develop and maintain both this Plan and the TAM Plan.
The Public Works Director is accountable for ensuring that the Agency’s Safety Management Systems (SMS) is effectively implemented throughout the Agency’s public transportation system. The Public Works Director is accountable for ensuring action is taken, as necessary, to address substandard performance in the Agency’s SMS. The Public Works Director may delegate specific responsibilities, but the ultimate accountability for the Transit Agency’s safety performance cannot be delegated and always rests with the Public Works Director.
1.2 - Chief Safety Officer
The Public Works Director designates the Senior Transit Analyst, Michael Houser, as Transit’s Chief Safety Officer who has the authority and responsibility for day-to-day implementation and operation of the Agency’s SMS. The Chief Safety Officer holds a direct line of reporting to the Accountable Executive and has a strong working relationship with the operations and asset management functions at the City.
Section 2 - Plan Development, Approval, and Updates
Caltrans developed the contents of this City pl an to meet requirements specified in 49 CFR Part 673 and comply with Part 673.11(d) regarding Caltrans’ responsibility to develop an ASP for any small public transportation provider that is located in California. This Plan is based on the four (4) principles or pillars of the SMS. SMS is defined as the formal, top-down, organization-wide, data-driven approach to managing safety risk and assuring the effectiveness of safety mitigations. It includes systematic policies, procedures, and practices for the management of safety risk. The four principles or pillars of SMS are: (1) Safety Management Policy; (2) Safety Risk Managem ent; (3) Safety Assurance; and (4) Safety Promotion.
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2.1 - Drafting the Plan
Caltrans drafted this Plan, thus meeting the requirements of 49 CFR Part 673.11(d). FTA will oversee compliance with the requirements of Part 673 through the existing Triennial Review processes. Should the City no longer meet the definition of a small public transportation provider or choose to opt-out of the Caltrans Agency Safety Plan, within one year from the date of notifying the State of either development the City will draft and certify its own Agency Safety Plan. If the City operates more than 100 vehicles the City must fulfil requirements of systems operating more than 100 vehicles.
2.2 - Signature by the Accountable Executive and Approval by City Council Pursuant to 49 CFR Part 673.11 (a)(1), this Agency Safety Plan and subsequent updates must be signed by the Accountable Executive and approved by the City Council.
Documentation of Board approval, consisting of approved and adopted City Council Resolution, is found in Appendix I.
2.3 - Certification of Compliance
Pursuant to 49 CFR Parts 673.13(a) and 673.13(b), Caltrans certifies that it has established this Agency Safety Plan, meeting the requirements of 49 CFR Part 673 by July 20, 2020 and will certify its compliance with 49 CFR Part 673.
After Caltrans initial certification, and on an annual basis, the City must update this Agency Safety Plan by July 20 in perpetuity. All Agency Safety Plan updates shall be signed by the Accountable Executive and approved by the City of Thousand Oaks City Council. (Board).
FTA does not require this plan to be submitted to FTA. Instead, Caltrans will certify that it has established this Safety Plan, which fulfills the requirements under Part 673. FTA annually amends and issues the list of Certifications and Assurances. Caltrans will review such guidance for incorporation into the safety program as necessary.
2.4 - Plan Review and Updates
The City updates this Safety Plan when information, processes or activities change within the Agency and/or when Part 673 undergoes significant changes, or annually, whichever comes sooner. As the City collects data through its SRM and Safety Assurance processes, shared with Caltrans and the local Ventura County Transportation Commission (“VCTC”) as described in subsection 3.1 below, VCTC and Caltrans will evaluate the City’s safety performance targets (SPTs) to determine whether they need to be changed, as well.
This Plan will be jointly reviewed and updated by the Accountable Executive and the Chief Safety Officer with the assistance of subject matter experts, each April. The Accountable Executive will approve any changes, then forward on to the City Council for approval by July 1 each year.
This Plan may need to be reviewed and updated more frequently based on the following:
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x We determine our approach to mitigating safety deficiencies is ineffective; x We make significant changes to service delivery;
x We introduce new processes or procedures that may impact safety; x We change or re-prioritize resources available to support SMS; x We significantly change our organizational structure.
Section 3 Safety Performance Targets (SPTs)
3.1 - Target Development
Caltrans includes SPTs in this Safety Plan. These targets are specific numerical targets set by Caltrans and based on the safety Performance Measures established by FTA in the National Public Transportation Safety Plan. In the most recent version, the 2017 NSP3, FTA adopted four initial safety Performance Measures: (1) Fatalities, (2) Injuries, (3) Safety Events, and (4) System Reliability.
Caltrans developed safety performance targets that it will review and update annually.
The specific safety performance targets are based on the safety performance measures established under the National Public Transportation Safety Plan and the safety performance goals set by Caltrans based on the past three (3) Calendar years of data.
The Safety Performance Targets for the City for the year 2020 is expected to stay within 1% +/- of previous three years data pertaining to fatalities, injuries, safety events, and system reliability.
FTA requires Caltrans to coordinate with FTA Region 9 and VCTC to the maximum extent practicable. Pursuant to 49 CFR Part 673.15(a), Caltrans will make safety performance targets available to VCTC to aid in the planning process upon certification of this plan.
Additionally, the City will transmit performance data against the safety performance targets to Caltrans and VCTC on an annual basis.
City of Thousand Oaks Transit Annual Safety Performance Targets Mode of
Transit
Service
Fatalities
(Total)
Fatalities
(Per
100K
VRM)
Injuries
(Total)
Injuries
(Per
100K
VRM)
Safety
Events
(Total)
Safety
Events
(Per
100K
VRM)
System
Reliability
(VRM/Failures)
Fixed
Route
0 0 0.01 0.01 0.01 0.01 To be
developed in
2024.
Demand
Response
0 0 0.01 0.01 0.01 0.01 To be
developed in
2024.
Section 4 - Overview of the Agency’s Safety Management Systems (SMS) SMS is a comprehensive, collaborative approach that brings management and labor together to build on the transit industry’s existing safety foundation to control risk better, Item No.7F
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detect and correct safety problems earlier, share and analyze safety data more effectively, and measure safety performance more carefully. The City’s SMS focuses on applying resources to risk and is based on ensuring that the City has the organizational infrastructure to support decision-making at all levels regarding the assignment of resources. Some key parts of the City’s SMS include:
1. Defined roles and responsibilities;
2. Strong executive safety leadership;
3. Formal safety accountabilities and communication;
4. Effective policies and procedures; and
5. Active employee involvement
Furthermore, the City’s SMS have four distinct components, which are discussed in subsequent sections to this Safety Plan:
1. Safety Policy
2. Safety Risk Management
3. Safety Assurance
4. Safety Promotion
Section 5 - Safety Management Policy
The first component of the City’s SMS is the Safety Management Policy, which is the foundation of the City’s safety management system. It clearly states the organization’s safety objectives and sets forth the policies, procedures, and organizational structures necessary to accomplish the safety objectives. The Safety Management Policy clearly defines management and employee responsibilities for safety throughout the organization. It also ensures that management is actively engaged in the oversight of the system’s safety performance by requiring regular review of the Safety Management Policy, budget and program by the designated Accountable Executive.
5.1 - Safety Management Policy Statement
Safety is a core value at the City, and managing safety is a core business function. The City will develop, implement, maintain, and continuously improve processes to ensure the safety of our customers, employees, and the public. The City’s overall safety objective is to proactively manage safety hazards and their associated safety risk, with the intent to eliminate unacceptable safety risk in our transit operations.
The City will:
x Clearly, and continuously explain to all City staff that everyone working with the Transit Division must take part and be responsible and accountable for the development and operation of the SMS.
x Work continuously to minimize safety risks. Work to comply with and, wherever possible, exceed legislative and regulatory requirements and standards for passengers and employees.
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x Work to ensure that all employees are provided appropriate safety information and training, are competent in safety matters, and assigned tasks commensurate with duties and skills.
x Reaffirm that responsibility for making our operations safer for everyone lies with all employees – from executive management to frontline employees. Each manager is responsible for implementing the SMS in their area of responsibility and will be held accountable to ensure that all reasonable steps are taken to perform activities established through the SMS.
Caltrans established safety performance targets to help measure the overall effectiveness of our processes and ensure we meet our safety objectives. The City will keep employees informed about safety performance goals and objectives to ensure continuous safety improvement.
5.2 - Safety Management Policy Communication
The Safety Management Policy is communicated throughout the Agency, to all employees, managers, and executives, as well as contractors, and to the City Council.
This is accomplished through various processes such as:
1. Workshops/training sessions - Conducted for Senior Management, Directors, Managers, Supervisors. Once this Plan or any update to this Plan has been signed by the Public Works Director approved by the City Council and certified by Caltrans it will become standard practice in perpetuity so that SMS become standard business practice. All Union representatives will be kept informed.
2. New Hire Safety Orientation – All new employees regardless of their classifications will be trained about their roles and responsibilities pertaining to PTASP and the principles of SMS.
3. Safety bulletins, email safety newsletter blasts to staff, toolbox/tailgate safety meetings and/or safety committee meetings
5.3 - Employee Safety Reporting Program
The City implemented a process that allows employees and contracted employees to report safety conditions to senior management, and provides protections for employees who make such reports. The purpose, description and protections for employees to report unsafe conditions and hazards are described in the Employee Safety Reporting Program as below:
Purpose: a) To establish a system for the City employees to identify unsafe conditions or hazards at work and report them to their department management without fear of reprisal. However, disciplinary action could result if the condition reported reveals the employee willfully participated in or conducted an illegal act, gross negligence or deliberate or willful disregard of regulations or procedures, including reporting to work under the influence of controlled substances, physical assault of a coworker or Item No.7F
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passenger, theft of agency property, unreported safety events, unreported collisions, and unreported passenger injuries or fatalities.
b) To provide guidelines for facilitating the timely correction of unsafe conditions or hazards by the City management.
Description: a) This program provides a method for City management to identify, evaluate, and correct or avoid unsafe conditions or hazards, procedural deficiencies, design inadequacies, equipment failures, or near misses that adversely affect the safety of employees.
Examples of voluntary safety reports include:
1. Safety hazards in the operating environment (for example, county or city road conditions),
2. Policies and procedures that are not working as intended (for example, insufficient time to complete pre-trip inspection),
3. Events that senior managers might not otherwise know about (for example, near misses), and
4. Information about why a safety event occurred (for example, communication challenges).
b) The program also involves recommending corrective actions and resolutions of identified unsafe conditions or hazards and/or near miss.
c) All employees have the obligation to report immediately any unsafe conditions or hazards and near misses to their immediate supervisor /department manager and may do so without fear of reprisal.
d) Unsafe conditions or hazards may also be identified as a result of occupational injury or illness investigations and/or by accident investigation.
e) Other means by which hazards may be identified are inspections/audits or observations made by the supervisors/management staff as referenced in the Agency’s Safety Inspection Program.
f) Findings will be published immediately following mitigation actions. If employee identification is available, direct feedback regarding mitigation will be provided.
5.4 - SMS Authorities, Accountabilities, and Responsibilities This Plan has assigned specific SMS authorities, accountabilities, and responsibilities to the designated Accountable Executive; Chief Safety Officer; Agency’s Leadership/Executive Management; and Key Staff/Employees as described below:
Subsection 5.4.1 Accountable Executive
The City’s Accountable Executive is the Public Works Director. The Public Works Director is accountable for ensuring that the Agency’s SMS is effectively implemented throughout the Agency’s public transportation system. The Public Works Director is accountable for Item No.7F
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ensuring action is taken, as necessary, to address substandard performance in the Agency’s SMS. The Public Works Director may delegate specific responsibilities, but the ultimate accountability for the City’s safety performance cannot be delegated and always rests with the Public Works Director. The Public Works Director is accountable for ensuring that the City’s SMS is effectively implemented, and that action is taken, as necessary, to address substandard performance in the Agency’s SMS. The Accountable Executive may delegate specific responsibilities, but not accountability for the City’s safety performance.
The Public Works Director roles include, but are not limited to:
x Decision-making about resources (e.g. people and funds) to support asset management, SMS activities, and capital investments.
x Signing SMS implementation planning documents.
x Endorsing SMS implementation team membership.
1. Ensuring safety concerns are considered and addressed in the Agency’s ongoing budget planning process.
2. Ensuring transparency in safety priorities for the City Council and for the employees.
3. Establishing guidance on the level of safety risk acceptable to the Agency.
4. Assuring safety policy is appropriately communicated throughout the Agency.
5. Other duties as assigned/necessary.
5.4.2 - Chief Safety Officer
The Chief Safety Officer has the authority and responsibility for day-to-day implementation and operation of the City’s SMS.
Chief Safety Officer’s Roles include:
Decision-making about resources (e.g., people and funds) to support asset management, SMS activities, and capital investments;
Overseeing the SRM program by facilitating hazard identification, safety risk assessment, and the development and implementation of safety risk mitigations.
Monitoring safety risk mitigation activities;
Providing periodic reports on safety performance;
Briefing the Accountable Executive and City Council on SMS implementation progress;
Planning safety management training; and
Developing and organizing annual audits/reviews of SMS processes and the Agency Safety Plan to ensure compliance with 49 CFR Part 673 requirements. Maintaining safety documentation.
Other duties as assigned/necessary.
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5.4.3 - Agency Leadership and Executive Management
The City Manager, Assistant City Manager, and Department Directors comprise Agency Leadership/Executive Management. Some of their responsibilities include:
1. Day-to-day implementation of the Agency’s SMS throughout their department and the organization.
2. Communicating safety accountability and responsibility from the frontline employees to the top of the organization.
3. Ensuring employees are following their working rules and procedures, safety rules and regulations in performing their jobs, and their specific roles and responsibilities in the implementation of this Agency Safety Plan and the Agency’s SMS.
4. Ensuring that employees comply with the safety reporting program and are reporting unsafe conditions and hazards to their department management; and making sure reported unsafe conditions and hazards are addressed in a timely manner.
5. Ensuring that resources are sufficient to carry out employee training/certification and re-training as required by their job classifications.
5.4.4 - Key Staff
The Agency Key Staff/Employees may include managers, supervisors, specialists, analysts, database administrators, and other key employees who are performing highly technical work and overseeing employees performing critical tasks and providing support in the implementation of this Agency Safety Plan and SMS principles in various departments throughout the Agency.
The City’s Key Staff/Employees responsibilities include:
6. Ensuring that employees are complying with the safety reporting program.
7. Ensuring supervisors are conducting their toolbox safety meetings
8. Promoting safety in employee’s respective area of responsibilities, with a goal of achieving zero accidents; absence of any safety concerns; perfect employee performance; and compliance with Agency rules and procedures and regulatory requirements.
9. Ensuring safety of passengers, employees, and the public.
10. Responding to customer complaints and expectations for frequency, reliability, and convenience of service.
11. Replacing and maintaining aging facilities, equipment, and infrastructure.
12. Meeting increasing demands for fixed route, commuter service and paratransit service.
13. Developing and maintaining programs to gather pertinent data elements to develop safety performance reports and conduct useful statistical analyses to identify trends and system performance targets.
14. Establishing clear lines of safety communication and holding accountability for safety performance.
15. Assisting as subject matter experts in safety risk assessment and safety risk mitigation processes.
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Section 6 Safety Risk Management (SRM)
The second component of the City’s SMS is Safety Risk Management, which includes processes and procedures to provide an understanding of the Agency’s operations and vehicle maintenance to allow individuals to identify hazards associated with those activities.
The City has implemented a SRM process for all elements of its transportation system.
The SRM process includes the following activities: safety hazard identification, safety risk assessment, and safety risk mitigation.
6.1 - Safety Hazard Identification
Hazard identification is the first step in the SRM process and a key component. It involves these fundamental safety-related activities: Identifying safety hazards and their consequences; assessing the risks associated with the consequences of the hazards; and developing mitigations to eliminate or reduce the potential consequences of the identified hazards.
The following are the City’s methods and processes to identify hazards. The Agency considers, as a source for hazard identification, data and information provided by an oversight authority and the FTA. Hazards are also identified through a variety of additional local sources, including:
o Employee safety reporting,
o Review of vehicle camera footage,
o Review of monthly performance data and safety performance targets, o Observations from supervisors,
o Maintenance reports,
o Comments from customers, passengers, and third parties, o Safety committee, driver and all-staff meetings,
o Results of audits and inspections of vehicles and facilities, o Results of training assessments,
o Guidelines from the Centers for Disease Control and Prevention (CDC), State health authority, and local health and safety guidelines, o Investigations into safety events, incidents and occurrences, and o Information from FTA and oversight authorities.
When a hazard has been identified, whatever the source, it is reported to the City’s Chief Safety Officer, who enters it into the Hazard Log. The Chief Safety Officer also may enter hazards into this log based on personal reviews of operations and maintenance activities and procedures.
The Chief Safety Officer will investigate hazards to collect information and determine if hazards need to be entered into the SRA process. In following up on identified hazards, the Chief Safety Officer may:
o Reach out to the reporting party, if available, to gather all known information about the reported hazard,
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o Conduct a walkthrough of the affected area, assessing the possible hazardous condition, generating visual documentation (photographs and/or video), and taking any measurements deemed necessary,
o Conduct interviews with employees in the area to gather potentially relevant information on the reported hazard,
o Review any documentation associated with the hazard (records, reports, procedures, inspections, technical documents, etc.),
o Contact other departments that may have association with or technical knowledge relevant to the reported hazard,
o Regularly review published best practices from CDC, State health authority, and local health and safety agencies to ensure operating practices are consistent, o Review any past reported hazards of a similar nature, and o Evaluate tasks and/or processes associated with the reported hazard.
Any identified hazard that poses an immediate risk to transit operations, the health and safety of employees or the public, or equipment must immediately be brought to the attention of the Accountable Executive and placed into the Safety Risk Management process for safety risk assessment and mitigation. Otherwise, hazards will be prioritized for further Safety Risk Management activity.
6.2 Safety Risk Assessment (SRA)
SRA defines the level or degree of the safety risk by assessing the likelihood and severity of the consequences of hazards and prioritizes hazards based on the safety risk. The Chief Safety Officer, with assistance from key staff subject matter experts, is responsible for assessing identified hazards and ratings using the safety risk matrix below. Prioritizing safety risk provides the Accountable Executive with the information needed to make decisions about resource application.
The following matrix, adopted from the Transportation Safety Institute (TSI) Participation Guide – SMS Principles for Transit, facilitates the ranking of hazards based on their probability of occurrence and severity of their outcome.
Probability Levels
Description Level Specific Individual Item Fleet Inventory Frequent A Likely to occur often in the life of an
item. Continuously experienced.
Probable B Will occur several times in the life of an
item. Will occur frequently.
Occasional C Likely to occur sometime in the life of
an item. Will occur several times.
Remote D Unlikely, but possible to occur in the life
of an item.
Unlikely, but can reasonably be
expected to occur.
Improbable E
So unlikely, it can be assumed
occurrence man not be experienced in
the life of an item.
Unlikely to occur, but possible.
Eliminated F
Incapable of occurrence. This level is
used when potential hazards are
identified and later eliminated.
Incapable of occurrence. This level is
used when potential hazards are
identified and later eliminated.
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The measuring goes from A to F with A being frequent or likely to occur frequently and E being improbable or expected that this event will most likely never occur. The designation F is used when potential hazards are identified and later eliminated.
Severity Levels
Description Level Mishap Result Criteria
Catastrophic 1
Could Result in one or more of the following: death, permanent total disability, irreversible significant environmental impact, or monetary loss equal to or exceedin
g $10M
Critical 2
Could result in one or more of the following: permanent partial disability, injuries or occupational illness that may result in hospitalization of at least three personnel, reversible significant environmental impact, or monetary loss equal to or exceeding $1M but less than $10M
Marginal 3
Could result in one or more of the following: injuries or occupational illness resulting in one or more lost work day(s), reversible moderate environmental impact, or monetar
y loss equal to or exceeding $100k but less than $1M
Negligible 4
Could result in one or more of the following: injuries or occupational illness not resulting in lost work day, minimum environmental impact. Or monetary loss less than $100k.
The Safety Risk Severity Table presents a typical safety risk. It includes four categories to denote the level of severity of the occurrence of a consequence, the meaning of each category, and the assignment of a value to each category using numbers. In this table, 1 is considered catastrophic meaning possible deaths and/or equipment destroyed and 4 is considered negligible or of little consequence with two levels in between.
Safety Risk Probability and Safety Risk Severity are combined into the Safety Risk Index Ranking to help prioritize safety risks according to the table below.
Safety Risk Assessment Matrix
Severity
Probability
Catastrophic
1 Critical
2 Marginal
3 Negligible
4 A-Frequent 1A 2A 3A 4A
B- Probable 1B 2B 3B 4B
C-Occasional 1C 2C 3C 4C
D- Remote 1D 2D 3D 4D
E- Improbable 1E 2E 3E 4E
F- Eliminated
Safety Risk Index Ranking
1A, 1B, 1C, 2A, 2B High Unacceptable
1D, 2C, 3A, 3B Serious Undesirable - With mana gement decision required 1E, 2D, 2E, 3C, 3D, 3E, 4A, 4B, Medium Acceptable - with review by management 4C, 4D, 4E Low Acceptable - without review
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The Chief Safety Officer documents recommendations regarding hazard rating and mitigation options and reports this information to the Accountable Executive.
6.3 - Safety Risk Mitigation
The Chief Safety Officer, assisted by Key Staff subject matter experts, reviews current safety risk mitigations and established procedures to 1) eliminate; 2) mitigate; 3) accept specific risks. Prioritization of safety remediation measures is based on risk analysis and a course of action acceptable to City management.
The safety risk must be mitigated if ranked as Unacceptable (High- Red). Those safety risks that have been mitigated, even those mitigated risks shown as Acceptable status (Low -Green) undergo regular and consistent monitoring to ensure the mitigation strategy is effective.
Key strategies to minimize the types of risks that potentially exist include:
¾ Development and deployment of policies and procedures that address known hazards and risks,
¾ Discussion of other actions, strategies and procedures that might help safeguard against unknown/unforeseen risks,
¾ Training of drivers and other Agency staff on all safety policies and procedures, ¾ Training of drivers and other Agency staff on methodologies consistent with guidelines from the CDC, State health authority, and local health agencies to minimize exposer to infectious diseases,
¾ Training of drivers and other Agency staff on methodologies for handling emergencies and
¾ Training of drivers and staff on proper and effective use of emergency equipment and communication technologies and protocol.
Safety risk mitigations are tracked and updated in the Hazard Log by the Chief Safety Officer.
Section 7 - Safety Assurance
The third component of the Agency’s SMS is Safety Assurance, which ensures the performance and effectiveness of safety risk controls established under SRM. Safety Assurance also helps ensure that the organization meets or exceeds its safety objectives through the collection, analysis, and assessment of data regarding the organization's performance. Safety Assurance includes inspection activities to support oversight and performance monitoring.
City monitors its operations and maintenance protocols and procedures, and any safety risk mitigations to ensure that it is implementing them as planned. Furthermore, the Agency investigates safety events, as defined in the City of Thousand Oaks Injury and Illness Prevention Program (Appendix II), and any reports of non-compliance with applicable regulations, standards, and legal authority. Finally, the Agency continually monitors information reported to it through any internal safety reporting programs, including the employee safety reporting program.
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Some of the key elements of City’s Safety Performance Monitoring and Measurement are shown below in subsection 7.1:
7.1 - Safety Performance Monitoring and Measurement
As part of the Safety Assurance Process, City:
1. Monitors the system for compliance with, and sufficiency of, the Agency’s procedures for operations and maintenance through:
a. Safety audits,
b. Informal inspections,
c. Regular review of on-board camera footage to assess drivers and specific incidents,
d. Safety surveys,
e. Employee safety reporting program,
f. Investigation of safety occurrences,
g. Safety review prior to the launch or modification of any facet of service, h. Daily data gathering and monitoring of data relating to the delivery of service,
i. Regular vehicle inspections and preventative maintenance, and j. Continuous feedback loop between leadership and all levels of the agency.
2. Monitors its operations to identify any safety risk mitigations that may be ineffective, inappropriate, or were not implemented as intended through:
a. Reviewing results from accident, incident, and occurrence investigations, b. Monitoring employee safety reporting,
c. Reviewing results of internal safety audits and inspections, and d. Analyzing operational and safety data to identify emerging safety concerns.
3. Conducts investigations of safety events to identify causal factors; and
4. Monitors information reported through any internal safety reporting programs. a. The Chief Safety Officer routinely reviews safety data captured in employee safety reports, safety meeting minutes, customer complaints, and other safety communication channels. When necessary, the Chief Safety Officer ensures that the issues and concerns are investigated or analyzed through the SRA process.
b. The Chief Safety Officer also reviews the results of internal and external reviews, including audits and assessments, with findings affecting safety performance, compliance with operations and maintenance procedures, or the effectiveness of safety risk mitigations. The Chief Safety Officer discusses relevant safety issues and concerns with the Accountable Executive and executive management and documents the results of these reviews in the Hazard Log.
In the event of a fatality, City complies with all FTA drug and alcohol requirements.
In California, every driver involved in an accident that results in death, injury, or property damage over $1000, must report the accident on a Report of Traffic Accident Occurring Item No.7F
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in California (SR 1) form to DMV. The report forms are available at www.dmv.ca.gov, by calling 1-800-777-0133, and at CHP and DMV offices. Also, under California Vehicle Code §16002(b) the driver of a vehicle that is owned or operated by a publicly owned or operated transit system, or that is operated under contract with a publicly owned or operated transit system, and that is used to provide regularly scheduled transportation to the general public or for other official business of the system shall, within 10 days of the occurrence of the accident, report to the transit system any accident of a type otherwise required to be reported pursuant to subdivision (a) of Section 16000 . The City requires driver notification to the City immediately and maintains records of any report filed pursuant to this paragraph.
Section 8 Safety Promotion
The fourth component of the Agency’s SMS is Safety Promotion, which includes a combination of training and communication of safety information to employees to enhance the City’s safety performance. Safety Promotion sets the tone for the SMS and helps the City to establish and maintain a robust safety culture. Safety Promotion has two- components: (1) Safety Communication; and (2) Competencies and Training.
8.1 - Safety Communication
The City communicates safety and safety performance information throughout the organization that, at a minimum, conveys information on hazards and safety risks relevant to employees’ roles and responsibilities and informs employees of safety actions taken in response to reports submitted through an employee safety reporting program.
Ongoing safety communication is critical, and the City ensures communication occurs up, down, and across all levels of the organization. Any lessons learned are communicated to all concerned. Management commitment to address safety concerns and hazards is communicated on a regular basis. Management encourages and motivates employees to communicate openly, authentically, and without concern for reprisal; ensures employees are aware of SMS principles and understand their safety-related roles and responsibilities; conveys safety critical information such as accident data, injuries, and reported safety concerns and hazards and their resolutions to employees. City’s tools to support safety communication include:
¾ Safety bulletins
¾ Safety notices
¾ Posters
¾ CDs or Thumb drives or online safety video access
¾ Newsletters
¾ Briefings or Toolbox talks
¾ Seminars and workshops
¾ New employee training and refresher training
¾ Intranet or social media
¾ Safety Committee Meetings
Competencies and Training: Executive Management ensures that all employees attend the training provided to understand their specific roles and responsibilities for the implementation of SMS. The City provides SMS training in the following areas:
Item No.7F
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All Employees:
1. Understanding of Safety Performance Targets
¾ Understanding of fundamental principles of SMS
¾ Understanding of Safety Reporting Program – Reporting unsafe conditions and hazards/near misses
¾ Understanding of their individual roles and responsibilities under SMS
Managers and Supervisors:
¾ Understanding of Safety Risk Management
¾ Understanding of Safety Assurance
¾ Understanding of Safety Promotion
¾ Understanding of their individual roles and responsibilities for SMS
Executive Management:
¾ Understanding of management commitment to and support of all SMS activities.
All employees are required to acquire the competencies and knowledge for the consistent application of their skills as they relate to safety performance objectives. The City dedicates resources to conduct effective safety-related skill training. The scope of the safety training is appropriate to each employee’s individual safety-related job responsibilities and their role in SMS. Components of the City’s skill-related training include:
1. Conducting training needs analyses to ensure that the right information is being taught to the right employees using the most efficient training methods.
2. Communicating purpose, objectives, and outcome.
3. Ensuring relevant content by directly linking training to the trainee’s job experiences so trainees are more motivated to learn.
4. Using active hands-on demonstrations and practice to demonstrate skills that are being taught and provide opportunities for trainees to practice skills.
5. Providing regular feedback during hands-on practice and exercises.
6. Reinforcing training concepts in the post-training work environment by giving employees opportunities to perform what they’ve learned.
City’s contractor, MV Transit, conducts refresher training monthly during employee safety meetings. Safety training topics include, but are not limited to: Left Turns and Pedestrians, Winter Driving, Mobility Device Securement, and Fire Safety/Fire Extinguisher Training.
A copy of the MV Transportation System Safety Program is included in Appendix III.
Section 9 - Documentation
Pursuant to 49 CFR Part 673.31, the City maintains records related to this Safety Plan and SMS implementation for a minimum of three years. These documents include, but are not limited to, the results from SMS processes and activities. City will make these documents available to FTA Region 9, Caltrans, and other Federal and state agencies upon request.
Item No.7F
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APPENDIX I
ADD COPY OF EXECUTED RESOLUTION AFTER CITY COUNCIL MEETING
Item No.7F
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APPENDIX II
INJURY AND ILLNESS PREVENTION PROGRAM
TABLE OF CONTENTS
POLICY STATEMENT ............................................................................................1 PROGRAM ADMINISTRATION AND RESPONSIBILITY .......................................2 COMPLIANCE ........................................................................................................3 SAFETY COMMUNICATION ..................................................................................4 HAZARD ASSESSMENT AND CONTROL .............................................................6 CORRECTING UNSAFE CONDITIONS AND PRACTICES ...................................7 ACCIDENT AND INJURY INVESTIGATION ...........................................................8 SAFETY AND HEALTH TRAINING ........................................................................9 RECORDKEEPING .................................................................................................9 EMERGENCY PREPAREDNESS ...........................................................................10 OFFICE SAFETY ....................................................................................................11 HOUSEKEEPING ...................................................................................................12 ERGONOMICS .......................................................................................................13 VEHICLE USE ........................................................................................................13 HAZARD COMMUNICATION .................................................................................15 HAZARDOUS ENERGY CONTROL PROGRAM ....................................................15 MAINTENANCE AND MECHANIC SHOPS ............................................................16 Item No.7F
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STREET AND EXCAVATION BARRIERS ..............................................................16 PERSONAL PROTECTIVE EQUIPMENT ..............................................................16 HAND TOOLS .........................................................................................................18 PORTABLE POWER TOOLS .................................................................................18 LADDERS ...............................................................................................................19 ALCOHOL AND ILLEGAL DRUGS .........................................................................19 SMOKE FREE WORKPLACE .................................................................................19 VIOLENCE IN THE WORKPLACE .........................................................................20 PRACTICAL JOKES/HORSEPLAY ........................................................................20 CONTRACTORS/CONSULTANTS .........................................................................20 SUMMARY ..............................................................................................................20 1
POLICY STATEMENT
The City of Thousand Oaks believes that employees are its most important resource and their safety is one of its principal responsibilities. Safety must be an integral part of all City activities and operations. Our objective is to administer all activities and operations to achieve and maintain protection for employees and reduce injuries and accidents.
We recognize that a program for safe working conditions is a partnership between all managers, supervisors and employees. Management’s responsibility is to be aware of known safety hazards and shall provide appropriate equipment, training, and supervision to each employee. Each employee shall be committed to and responsible for their own personal safety and that of their co-workers.
The prevention of injuries and accidents is an objective affecting all levels of the City and its activities. It is, therefore, a basic requirement that each manager and supervisor make the safety of their employees an integral part of their regular functions and observations. It is equally the responsibility of each employee to accept and follow established safety regulations and procedures.
The management of the City of Thousand Oaks is committed to this partnership and to an excellent safety program. It is with this intent that this Illness and Injury Prevention Program (IIPP) was developed. By accepting mutual responsibility to perform our jobs safely, we will all contribute to the well-being of the City of Thousand Oaks, its employees and citizens.
Andrew P. Powers
City Manager
Item No.7F
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PROGRAM ADMINISTRATION AND RESPONSIBILITY
Program Administrator Responsibilities
The Human Resources Director, or designee, is the Program Administrator of the City’s IIPP. The Program Administrator is responsible for ensuring that all provisions of the City’s IIPP are implemented.
Management Responsibilities
Management shall set policy, allocate resources, and provide leadership by participation, example, and demonstrated interest in the IIPP, including:
• • Provide direction and assign safety responsibility. • • Hold supervisors accountable for safety and loss control. • • Provide active leadership and participation in the IIPP. • • Monitor the effectiveness of the IIPP.
• • Develop general and specific safety guidelines for the City. • • Support programs and committees established to promote safety and health. • • Ensure that unsafe conditions and practices are corrected in a timely manner.
Supervisor Responsibilities
Supervisors are a main foundation of the City’s IIPP. Supervisors are responsible for ensuring that employees know, understand, and abide by the City’s safety policy and procedures. Supervisors shall work to promote a safe workplace and enforce safety rules fairly and uniformly. Supervisors shall report to the Program Administrator substances, work procedures, or equipment that may pose safety or health risks and shall provide on-the-job safety training of those supervised. Supervisors shall conduct periodic inspections of their work environment. It is a basic requirement that each supervisor make the safety of employees an integral part of their supervisory function.
In effectively executing safety responsibilities, supervisors have the authority and responsibility to:
• • Understand and enforce safety regulations applicable to operations within their area of responsibility.
• • Conduct or arrange for safety orientation and training. • • Instruct employees to recognize hazards and hazardous situations and keep them aware of proper safety practices.
• • Conduct accident and injury investigations and implement corrective action to prevent reoccurrence of incidents causing accidents or injuries.
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• • Ensure that materials and equipment are maintained in safe operating condition.
• • Ensure that employees know, understand, and follow established safety rules and guidelines.
• • Enforce all safety rules and regulations uniformly. • • Provide the appropriate personal protective equipment and train employees in its use.
• • Communicate proposed changes and improvements to the IIPP to a Department Head or Division Manager.
Employee Responsibilities
All employees shall promote a safe and healthful work environment. Employees have the responsibility for following safe work practices, complying with safety policies and procedures, and for assisting in maintaining a safe workplace, including identifying and eliminating unsafe and unhealthful conditions and practices. Employees are expected to inform their supervisor or the Program Administrator of any matter which is perceived to be a workplace hazard, or has the potential to become one. It is the responsibility of each employee to follow safe work practices and comply with safety rules and regulations. Employees are expected and encouraged to assist management in accident prevention activities and are responsible to:
• • Adhere to all safety rules and regulations.
• • Report unsafe conditions and practices immediately to their supervisor. • • Coach fellow employees on safe work practices whenever appropriate. • • Maintain good housekeeping duties pertaining to their work assignments. • • Report all injuries, no matter how minor, to a supervisor as soon as possible. • • Wear and use the appropriate personal protective equipment as required. • • Maintain equipment in good condition with all safety guards in place when in operation.
• • Actively contribute to the success of the IIPP.
COMPLIANCE
To ensure that employees are supported in their pursuit of maintaining a healthful work environment, the City will inform employees of the provisions of the City’s IIPP; evaluate the safety performances of all employees; recognize employees who perform safe and healthful work practices; provide training to employees whose safety performance is Item No.7F
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deficient; and discipline employees for failure to comply with safe and healthful work practices.
Although primary responsibility for occupational safety and health rests with the managers and supervisors, certain responsibilities are also placed on the employees.
These responsibilities include, but are not limited to:
• • Obeying all City safety rules, policies, practices, and procedures. • • Wearing and maintaining appropriate safety and personal protective equipment. • • Obeying all occupational safety and health standards, rules, regulations, and orders.
• • Using all equipment (i.e., hard hat, safety shoes, hearing protectors), safety device (i.e., machine guard, safety interlock), method, or process adopted for employee protection.
• • Not removing, displacing, damaging, destroying, tampering with, or carrying off • safety devices, safeguards, notices, or warnings.
• • Not interfering with the use of safeguards by others.
Employees shall be trained in safe work practices. If unsafe practices are observed by supervisors or other employees, the employee will be retrained to ensure that they comply with safe work practices.
When it becomes necessary, management reserves the right to discipline employees who violate City safety rules or policies in accordance with the City’s applicable Memoranda of Understanding.
It is the duty of managers and supervisors to provide a safe and healthful work environment for their employees and comply with occupational safety and health standards, rules, and regulations, and orders. Managers and/or supervisors who do not comply with safety regulations may be subject to disciplinary action. The following constitutes violation of the City’s safety regulations:
• • Repeated safety rule violation by their department employees. • • Failure to provide adequate training prior to initial or new job assignments. • • Failure to report accidents and provide medical attention to employees injured at work.
• • Failure to control unsafe conditions or work practices. • • Failure to maintain good housekeeping standards and cleanliness in their departments.
SAFETY COMMUNICATION
Item No.7F
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It is the policy of the City to discuss safety and accident prevention with employees on a regular basis. The City’s IIPP encourages employees to communicate with all levels of management on safety and health matters. The IIPP also provides means for management to keep employees informed about safety and health issues.
Communication between employees and supervisors regarding safety and health issues is essential to an injury-free, productive workplace. During the initial safety orientation, employees will be informed of the importance of workplace safety and employees will be encouraged to report any unsafe conditions to their immediate supervisor.
Employees are advised that there will be no supervisory retaliation or discrimination for expressing concern, comment, suggestion, or complaint about a safety-related matter.
An effective safety communication system encourages employees to inform the City of hazards at the workplace without fear of retaliation or discrimination. This communication system may take many forms, including, but not necessarily limited to the following:
Safety Committee Meetings: The City’s Safety Committee is responsible for disseminating information to their department head and employees and documenting departmental safety activities. The minutes of Safety Committee meetings will be made available to employees.
Under the direction of the Program Administrator, the Safety Committee’s general objective is to advise the Program Administrator or designee on various means of achieving increased employee safety in City operations, on an ongoing basis. The Committee shall establish procedures to carry out its general objective; review accident reports and identified causations; analyze and assess existing safety practices and procedures; propose modifications and amendments to current practices and procedures, with due regard for state safety and health regulations and standards; assess and make recommendations to the Program Administrator pertaining to employee safety matters; and disseminate workplace safety information and familiarize employees with existing safety procedures.
The Safety Committee’s responsibilities may include, but are not limited to:
• • Assist in the design and implementation of safety and loss control programs. • • Monitor the effectiveness of the IIPP and propose action for changes. • • Monitor and coordinate existing safety training programs and determine if new programs are warranted.
• • Monitor safety inspections of City facilities and ensure necessary corrective actions are completed.
• • Disseminate information and keep informed of new safety regulations and standards.
• • Participate in the follow-up on accident and injury investigations. • • Conduct work area safety inspections.
Item No.7F
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General Safety Meetings: The City shall regularly conduct general safety meetings where safety issues can be discussed freely and openly by all present. Such meetings will be announced with sufficient notice so that maximum participation can occur.
Communication regarding safety rules, safe working conditions, work practices, required personal protective equipment, and causes of recent accidents and injuries and methods used to prevent similar accidents may be discussed. Crewleaders or senior personnel working in the field or construction areas will conduct regular or mandated “tailgate” meetings to emphasize safety. Attendance at safety meetings shall be documented.
Written Communication: The City may periodically post or distribute written safety notifications and directives to employees. Employees shall read such documents promptly and direct questions about the meaning or implementation of the information to their supervisor.
Suggestions: Employees are encouraged to make suggestions regarding safety and safety training to their supervisor, the Program Administrator, or the Human Resources Department. Such suggestions may be made anonymously. Suggestions will be reviewed by the Program Administrator or designee and action taken as appropriate to ensure continuing compliance with safety regulations.
Bulletin Boards: The City will regularly maintain and post safety-related materials on bulletin boards located throughout the City.
Recording Employee Safety Efforts: Employees shall be evaluated for their compliance with safe work practices as part of the annual performance evaluation. Employees making a significant contribution to the maintenance of a safe workplace, as determined by their department management, will receive formal recognition of their efforts in their personnel file and annual performance appraisal.
HAZARD ASSESSMENT AND CONTROL
Hazard control is a critical component of an effective IIPP. Periodic inspections provide a method of identifying existing or potential hazards to be eliminated and/or corrected in the workplace.
Inspections
The Program Administrator or designee shall conduct or participate in periodic inspections. All inspections will be documented by using site-specific Safety Inspection Checklists, which shall be reviewed by the Program Administrator or designee. The Program Administrator may send notices to appropriate supervisors for immediate correction of specific hazards. When safety hazards are corrected, the action taken will be indicated on the Safety Inspection Checklist, which will be signed and dated by the individual who was responsible for overseeing the corrections. A copy of the inspection report and corrections will be kept in the Human Resources Department.
Types of inspections may include:
Item No.7F
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Routine Inspections: Inspections will be conducted routinely, in each work area, on an announced or unannounced basis, or as determined by the Program Administrator.
Introduction of New Materials: Inspections will be conducted upon introduction of new substances, processes, procedures or equipment, which may present a new safety or health hazard. The Program Administrator or designee may conduct an inspection upon receipt of a Safety Inspection Checklist that indicates a hazard is present, or any other correspondence reporting a hazard from a supervisor or employee, or upon otherwise learning of new or previously unrecognized safety or health hazards.
Post-Incident: Whenever a work-related injury, illness, or accident occurs, the Program Administrator will be informed immediately. A follow-up inspection shall be conducted as determined to be necessary by the Program Administrator or designee.
Hazard Identification
Inspections/evaluations will also be performed whenever any new substance, process, procedure, or equipment is introduced into the workplace, or when the City is made aware of a new or previously unrecognized hazard.
Priorities will be determined by the severity of the hazard(s) identified. Employees will be protected from imminent hazards by means which include, but are not limited to, fixing or replacing defective equipment, installing guards or modifying equipment, training employees, posting warning signs, or by other means of adequately protecting employees from exposure.
Job Safety Analysis
A Job Safety Analysis (JSA) is an effective method to identify hazards in various tasks.
Under the direction of the Program Administrator, JSAs will be conducted by designated supervisors or managers. JSAs will be developed for tasks that have a potential for serious injuries or where there has been an injury or incident that could have caused serious injury.
CORRECTING UNSAFE CONDITIONS AND PRACTICES
To maintain a safe and healthy work environment, potentially hazardous workplace conditions or practices must be corrected in a timely manner. The following procedures provide a system to evaluate and correct any unsafe conditions or work practices.
Unsafe Conditions or Hazards
Any employee observing a situation needing corrective action beyond the employee’s authority or expertise shall immediately report the situation to their supervisor or manager.
Imminent Danger
Any piece of equipment or machinery that poses an imminent danger to employees or others shall be tagged out with a “Danger-Don’t Use It” equipment tag or other suitable warning label. If needed, the area shall be blocked off except for authorized personnel Item No.7F
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performing repairs. The supervisor and/or Facilities Manager should be immediately notified of this action.
Retaliation
No employee shall be retaliated against for reporting potential or actual hazards, or for making safety-related suggestions or comments.
ACCIDENT AND INJURY INVESTIGATION
Employees shall notify their supervisor as soon as possible after an accident or injury occurs. Supervisors are responsible for ensuring that proper medical treatment or evaluation is provided to any injured employee. The supervisor shall immediately notified the Program Administrator or designee of the need to eliminate or control any obvious hazards that may have contributed to a serious accident or injury, or request necessary resources to abate any ongoing hazard. An accident and injury investigation shall be commenced by the supervisor immediately, with the assistance and/or oversight of the Program Administrator. The purpose of the investigation is to obtain the facts involved and to determine, if possible, the root cause of the accident or injury. It is important to remember that the purpose of an accident and injury investigation is not to establish fault, but to determine the causes and types of corrective actions can eliminate the cause(s) of the accident or injury.
When conducting an accident and injury investigation, the supervisor should determine:
• • What happened – This may involve a reconstruction of conditions or events that may have led to the accident or injury.
• • Why did the accident or injury occur – This involves documenting the conditions at the scene of the incident, obtaining witness statements, and identifying causative factors.
• • What should be done to minimize or eliminate the risk of a recurrence – Interim or temporary precautions should be considered as measures to prevent an immediate recurrence.
• • What actions have been taken – Permanent corrective actions should be identified in terms of how to prevent a future recurrence.
As required by Labor Code Section 342, a supervisor or the Program Administrator shall immediately report, but in no case more than eight (8) hours after the supervisor or Program Administrator learns of, any serious injury or fatality involving a City employee to the nearest Cal/OSHA District office. A serious injury is defined in Labor Code Section 330 as any injury or illness requiring inpatient hospitalization in excess of 24 hours (except for observation), loss of any part of the body (amputation), or a serious degree of permanent disfigurement. An exception to the reporting requirement is an accident or injury involving an employee on a public street or highway.
The telephone numbers of the nearest Cal/OSHA District offices are:
Item No.7F
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• • Van Nuys (818) 901-5403
• • Ventura (805) 654-4581
Effective January 30, 2003, the minimum civil penalty for failure to report a fatality or serious injury or illness to the nearest Cal/OSHA District office increased to $5,000.
SAFETY AND HEALTH TRAINING
Awareness of potential safety and health hazards, and knowledge of how to control such hazards, is critical to maintaining a safe and healthy work environment and preventing injuries, illnesses, and accidents in the workplace. The City is committed to instructing all employees in safe and healthful work practices. To achieve this goal, the City will provide training to each employee with regard to general safety procedures, and with regard to any hazards or procedures specific to that employee’s work assignment. Training will be provided as follows:
• • Upon hiring and/or when an employee is given a new job assignment for which training has not previously been provided.
• • When new substances, processes, procedures or equipment, which represent a new hazard are introduced into the workplace, or when a previously unrecognized hazard is identified.
• • Whenever the Program Administrator or designee believes that additional training is necessary. The Program Administrator shall determine training topics and needs, in consultation with department supervisors and managers.
Supervisors shall assess the training needs of all employees under their direction, provide general training in workplace safety, provide specific instruction regarding each job assignment, and request training in those areas in which the supervisor feels deficient to provide the training themselves. Documentation of safety training shall include employee’s name, signature, training date, type of training and name of trainer.
RECORDKEEPING
The Program Administrator shall be responsible for retaining records of the City’s IIPP in accordance with legal requirements in the following manner:
Safety Inspection Records: Records of hazard assessment inspections, including the person(s) conducting the inspection, the unsafe conditions and work practices that have been identified, and the action taken to correct the identified unsafe conditions and work practices, shall be recorded. Records shall be maintained a minimum of one (1) year.
Safety Training Records: The City shall document safety and health training for each employee, including the employee’s name or other identifier, training dates, type(s) of training attended, and training providers. Training documentation will be maintained at least two (2) years.
OSHA Log 300 Forms: Records shall be maintained for five (5) years.
Item No.7F
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Other Records Related to Employee Communication: Safety Meeting sign-up sheets, employee suggestions/questions and responses, and other related safety records will be 10 maintained for minimum of two (2) years.
This IIPP will be periodically reviewed by the Program Administrator or designee. This review shall verify effective implementation of each element of the program, develop any changes needed and initiate communicate of the IIPP program changes made to managers, supervisors, and employees.
Each new employee hired by the City will be subject to the provisions of the IIPP. Each employee promoted and/or transferred to a new job will be trained in the safety aspects of their new assignment. The Program Administrator or designee shall ensure that each new employee is provided a copy of the IIPP and provided training on any provisions applicable to a new or transferring employee’s position.
EMERGENCY PREPAREDNESS
City employees shall be trained and are expected to follow the Standard Operating Procedures established for their departments and as described in the City of Thousand Oaks’s Emergency Response Plan. The City supports the Standard Emergency Management System (SEMS) and National Incident Response System (NIMS) in responding to a State of Local Emergency as declared by the City Manager, upon a state or national State of Emergency, or under a Mutual Aid Declaration. City employees are designated as Disaster Service Workers under Government Code Section 3100 and are required to report to work during an emergency to assist their supervisor, Division Manager, EOC Director or the SEMS Section Manager.
First Aid/CPR/AED
First aid, cardiopulmonary resuscitation (CPR) and automated external defibrillator (AED) training are integral parts of the City’s IIPP and overall employee safety and health programs. Training will be made available to all City employees so that an adequate number of employees are trained to respond to emergencies at all work locations. Employees shall familiarize themselves as to where first aid kits and AEDs are located. Employees should also know who in their area has been trained in first aid, CPR, and AED procedures.
First Aid Kits
The City shall provide, maintain and regularly replenish first aid kits in all City facilities and other various work locations. Employees shall notify their supervisor or the Program Administrator of the location of any first aid kit which need to be replenished prior to the established schedule.
Fire Protection
Properly maintained fire fighting equipment is an essential part of good fire protection.
Employees should be familiar with the location, type, and use of portable fire extinguishers at regular normal work sites. All portable extinguishers shall be checked Item No.7F
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on a monthly basis by Facilities Maintenance employees to ensure that they are properly charged and the results of those checks shall be recorded on a tag affixed to each extinguisher. A professional fire equipment company shall service the portable fire extinguishers annually.
Employees are also responsible to:
• • Have available current emergency phone numbers for police, fire and medical aid.
• • Be familiar with building evacuation procedures and emergency exit routes. The building evacuation plan shall include both primary and secondary exit routes, as well as locations for employee muster areas.
In Case of Fire
• • Know how to report a fire, by calling “9-9-1-1” from within City facilities, or “9-1- 1” when working away from City facilities.
• • Know the location and operating methods of all fire fighting equipment in the building.
• • Be familiar with survival techniques in case you are trapped by a fire. If caught in a smoke filled area, crawl on the floor and take short breaths through your nose. If possible, hold a cloth in front of your face.
• • Before opening a door, touch it. If it is hot, do not open it.
Fire Prevention
• • Good housekeeping shall be maintained at all work locations and in all City vehicles.
• • Combustible materials, such as oil-soaked rags, rags containing thinners, etc., shall be kept in approved metal containers with self-closing lids. Containers shall be emptied often.
• • Flammable liquids such as gasoline, benzene, lacquer, thinner, etc. shall not be used for cleaning purposes.
• • All solvents and gasoline shall be kept in approved properly labeled containers. • • When pouring or pumping gasoline from one container to another, metallic contact shall be maintained between the pouring and receiving containers. • • Employees shall not smoke in proximity to flammable liquids, gases, wet well areas, or manholes.
OFFICE SAFETY
Item No.7F
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An office environment has potential safety hazards that may result in injuries. The purpose of this section is to provide guidelines to avoid such injuries.
General
• • Ladders or step stools of appropriate design shall be provided and readily available as a means of reaching high files and shelves. No employee shall stand on a swivel or folding chair.
• • All hazards, such as sharp edges on file cabinets, loose carpets, faulty chairs, or any other conditions likely to do bodily harm shall be reported to the supervisor or Facilities.
• • Aisles shall be kept clear at all times of all obstructions.
Desks and File Cabinets
• • Whenever possible, arrange filing cabinets side by side. • • Close desk and file cabinet drawers when they are not in use to avoid limiting safe use of aisles. Avoid placing cabinets and files so that open drawers block aisles. • • Never stack separate two-drawer filing cabinets unless they are designed to be stacked and can be fastened together.
• • Do not stack bookcases or file cabinets on top of tables or desks unless designed for such use.
• • Never attempt to move heavy file cabinets without proper assistance.
Office Equipment
• • Office equipment shall be arranged to provide safe working conditions. • • Unless specifically trained in office equipment repair, do not attempt to repair or service malfunctioning equipment such as copiers, printers and fax machines, due to potential exposure to electrical hazards and hot surfaces. • • Electrical cords shall be maintained in such a manner as to present no tripping hazard.
• • Frayed or badly worn electrical cords shall be reported to the supervisor or Facilities.
• • Installation, repair, or maintenance of any office equipment shall be done only by a qualified person.
• • Hand paper cutters shall have the blade locked in down position when not in use.
Item No.7F
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HOUSEKEEPING
Good housekeeping is always an aid to safety and efficiency. Each employee, in the course of their work, must regularly observe the following housekeeping rules:
• • Keep the work site clean and orderly.
• • Clean up oil, grease, mud, and litter from floors, walkways, and stairs. • • Keep emergency exits clear.
• • Clean up trash and debris before it begins to pile up. • • Never leave pipes, tools, planks or other equipment lying where someone could trip over them. Never let items block an exit, aisle or walkway.
ERGONOMICS
Ergonomics is the science dealing with the interaction between employees and their work environment. It is fitting the job to the person, not the person to the job. Improper use of tools, equipment and workstations can lead to injuries. Nearly all ergonomic injuries, if identified early, can be avoided. The City shall provide professional resources to evaluate an employee’s concern, at their supervisor’s request. The early evaluation of ergonomic hazards presents the best possible solution to minimize employee discomfort and fatigue.
VEHICLE USE
All employees shall understand and conform to the policies set forth by the City with regard to the use of City vehicles or their personal vehicles used in the course of official City business.
Driver Policy
To drive a City vehicle, employees must have the proper license(s) for the type of vehicle they are required to drive and shall maintain an acceptable driving record.
Drivers of City vehicles must maintain safe driving habits and comply with all traffic regulations. Drivers are personally responsible for any citations issued by law enforcement personnel arising from violation of these laws.
Drivers involved in a vehicular accident while driving a City vehicle, where the employee is determined to be at fault and/or in violation of the foregoing rules, may be subject to disciplinary action.
Item No.7F
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Employees who hold commercial driver’s license or frequently drive a City vehicle shall be enrolled in the DMV’s “Employer Pull Notice” program. The DMV notifies the City when one of its enrolled drivers receives a citation, is involved in an accident, a notice of suspension, or other types of DMV actions that may impact the employee’s ability to drive during the course of their employment, and/or affect the City’s ability to insure the employee for automobile liability.
Driver Responsibility
• • Drivers of City vehicles shall maintain safe driving habits and observe all traffic regulations.
• • Drivers are responsible for the safety of their passengers. This includes the wearing of safety belts and, in the case of trucks, making sure they ride only in the vehicle compartment.
• • Drivers are responsible for keeping their vehicle clean and orderly. The passenger compartment, toolbox and truck bed shall be kept free of oily rags, waste, newspapers or other debris.
• • Trucks or trailers stopped on any public roadway shall be protected by warning lights or in accordance with the City’s “Traffic Safety” procedures. • • Trucks shall not be operated with tailgates down except where necessary to haul items longer than the bed of the truck. In these cases, material shall be secured and tailgates or loads should not obstruct view of license plates or lights. • • Before backing a vehicle, the driver shall determine that the space is clear. If another employee is available, he or she may assist in directing the vehicle during backing.
• • Drivers of cars, trucks, forklift equipment or other vehicles shall exercise maximum care to keep from running over electric extension cords, air hoses, and pipelines.
• • Drivers of large vehicles or equipment shall ensure they have adequate overhead clearance for electrical lines, tree branches and other overhead obstacles. • • All ignition systems shall be turned off and no smoking permitted while refueling.
• • Vehicles must be parked so they do not roll out of control. • • When returning to City property, vehicles should be parked in the areas designated for City vehicles.
Vehicle Inspection
Item No.7F
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It is the driver’s responsibility to conduct a general pre-start vehicle inspection (oil, fuel gauge, tires, brakes, lights, horn, turn signals, and windshield wipers) prior to operation.
Any mechanical defect that affects the safe operation of the vehicle shall be reported at once to Fleet Services and the vehicle will be removed from service. Only authorized personnel shall make repairs to City vehicles.
Material hauled on City vehicles must be loaded or tied down sufficiently to prevent it from jarring loose or falling off. It is against City policy to carry or haul any hazardous materials that require manifesting and placarding.
Vehicle Accident Reporting Procedures
• • All accidents involving City-owned vehicles or mobile equipment which results in damage to City or other vehicles, real or personal property of others, or injury to any person, shall be reported the employee’s supervisor immediately. • • Drivers shall utilize the vehicle accident kit in each vehicle’s glove compartment to obtain instructions of what to do when involved in an accident. The driver shall fill out a City Vehicle Accident Report form and request to have a Traffic Collision Report taken by a peace officer.
• • As required by the California Vehicle Code, drivers shall exchange driver’s license, vehicle registration and evidence of insurance information with other parties involved in the accident.
• • Drivers or other employees shall not admit liability for damages or injuries when an accident occurs.
HAZARD COMMUNICATION
Many types of hazardous materials and substances may be found in City’s operations.
These materials can be in a gaseous, liquid, or solid state. By understanding some of the key properties of hazardous materials, they may be used and handled safely. This understanding is accomplished through proper evaluation, recognition, and control of hazardous materials. Proper storage of hazardous materials in approved containers, storage cabinets, secondary containment, and proper labeling of hazardous materials is also critical to avoiding injuries and assuring that environmental releases are prevented.
Labels
Labels listing the product name, manufacturer name and address, and appropriate hazard warning must be on containers of all hazardous materials or substances.
Depending on the quantities of some hazardous materials on City properties, NFPA 704 diamond labels may be necessary.
Material Safety Data Sheets (MSDS)
Information regarding ingredients, fire hazards, health hazards, special protection, and first aid are listed on individual MSDS. An MSDS for a specific product is available for employee review. Ask your supervisor for the nearest location of MSDS sheets.
Item No.7F
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Training
Training shall be provided to employees in hazard communication who work with potentially hazardous substances. The training shall include the requirements of the Hazard Communication (Right to Know) standard; how to read MSDS materials; identification and location of hazardous substances; physical and health hazards of hazardous substances; methods to detect hazardous substances (appearance and odor); and, protective measures such as work practices, personal protective equipment, and emergency procedures to minimize or prevent employee exposure.
HAZARDOUS ENERGY CONTROL PROGRAM (LOCKOUT/TAGOUT)
Employees working on equipment that can be activated during maintenance or cleaning operations shall follow the procedures contained in the Hazardous Energy Control (LockOut/TagOut) policy. Hazardous energy can be electrical, steam, mechanical, or hydraulic. Before employees work on any mechanical equipment, the equipment shall be in a “zero energy” state.
MAINTENANCE AND MECHANIC SHOPS
• • Machines, benches and work areas should be kept clean and orderly and located to allow free handling of materials and equipment. Scrap and waste materials shall be placed in containers or specialized areas and disposed of frequently. • • To minimize tripping hazards in the shops maintain aisles and walkways, use marking tape to designate storage areas and walkways.
• • Employees must familiarize themselves with shop equipment before use, and turn off or disconnect the power before making adjustments to a piece of equipment. • • Bench and pedestal grinders must be equipped with tool/work rests and adjusted to clear the abrasive wheel by not more than 1/8 inch. • • Special storage requirements must be observed for gasoline, solvents, paints and other hazardous materials.
• • Shelves, bins and racks should be inspected periodically for integrity and not overloaded. Where practical, heavier objects should be located at lower levels. • • If work must be done under a raised vehicle, jack stands or wooden blocks shall be used in addition to the jack system.
• • When removing heavy parts such as engine heads and manifolds, employees should use mechanical assistance (forklift, wench, etc.) and/or request additional help.
STREET AND EXCAVATION BARRIERS
• • All barriers, markers and lights shall be maintained in good repair, be clean, and brightly painted to ensure high visibility.
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• • Placement of traffic cones, warning flags, barriers, and lights for street work shall be in accordance with Cal/OSHA regulations.
• • Work hours in heavy traffic areas shall be followed closely to minimize employee exposure and disruption of traffic flow.
• • City departments subcontracting any work or construction on City property or public right-of-way shall ensure that contracts specify the contractor's responsibility for strict adherence to all safety standards promulgated by state occupational safety and health laws.
PERSONAL PROTECTIVE EQUIPMENT
Employees shall use the appropriate personal protective equipment when necessary for safety.
Body Protection
Employees shall wear clothing appropriate for the work being done. Wearing tank tops or going shirtless is prohibited. Loose sleeves, tails, rings or jewelry or other clothing shall not be worn around machinery in which it might become entangled.
Eye/Face Protection
Employees working in locations where there is risk of receiving eye injuries from flying particles, hazardous substances, projections or injurious light rays shall wear appropriate eye/face protection. In most situations, ANSI-approved safety glasses/goggles and a face shield shall be worn. Welders and any attendants shall wear at a minimum #3 tint safety glasses. Signs shall be posted at areas where eye protection is required.
Fall Protection
Appropriate fall protection must be used at all times while employees are working at elevations greater than four feet above ground level that is not protected by handrails or guardrails.
Foot Protection
Steel-toed safety shoes are required safety equipment for many tasks involving heavy falling objects or crushing hazards to the toes and feet. In accordance with the MOUs, the City will contribute toward the purchase and/or replacement of safety shoes in the first quarter of each year.
Hand Protection
Hand protection may be required for employees whose work exposes their hands to hazardous substances, biological hazards, cuts or burns. Do not wear gloves around moving machinery. Germicidal soap shall be provided in work areas where employees may be exposed to biological hazards.
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Hearing Protection
Earplugs and earmuffs shall be worn in areas where noise levels exceed 90 dbA on an 8-hour time-weighted average. The hearing of all field employees with significant occupational noise exposure will be checked for a baseline upon initial placement into the hearing conservation program. Thereafter, annual audiometric tests will be conducted to see if there is any variation from the baseline level. In the event of a threshold shift in terms of hearing loss, the employee will be notified and counseled as to additional steps to protect their hearing.
Head Protection
Hard hats shall be worn in all designated or posted areas and anytime there is danger from flying objects, equipment or tools. When working in proximity to electrical sources, the risk of serious injury or electrocution shall be reduced by wearing nonmetallic hard hats.
Respiratory Protection
Approved dust, chemical or paint respirators shall be used for protection against harmful air contaminants that are at or above permissible exposure limits (PELs). Employees in the City’s Respiratory Protection Program shall be medically evaluated prior to being assigned a respirator, trained before first use of such equipment, and annually thereafter.
Skin Protection
Many City employees work outdoors where they are exposed to some amount of sunlight, which may involve exposure to ultraviolet light, a cause of skin cancer. To protect employees from this potentially dangerous disease, the City provides training and sunscreen lotion. Employees are highly encouraged to wear sunscreen whenever working outdoors.
HAND TOOLS
Many accidents result from improper use of tools, use of defective tools and equipment that were not in good condition, or tools not used for the purpose for which they were designed. Where proper and safe tools are not available for the work to be performed, the employee should report the fact to the immediate supervisor. In addition:
• • Tools that develop defects while in use should be removed from service and not used again until returned to good condition, repaired or replaced. • • Tools not in use should be returned to their designated storage space. • • Particular attention should be given to the placing of tools on overhead work to avoid the possibility of them falling or striking someone below.
PORTABLE POWER TOOLS
Item No.7F
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Electrically-powered tools shall either be of the approved double insulated, be properly grounded, or used with ground fault interruption circuits. All electric cords shall be inspected before each use. Never remove safety guards from power tools. Never strain a power hand tool beyond its obvious capacity. 19
The exhaust from gasoline-powered engines and tools contains carbon monoxide, a poison which can cause illness, permanent neurological damage and death. Do not use or operate gasoline-powered engines or tools inside buildings or in partially enclosed areas unless the exhaust can be vented outdoors.
LADDERS
Serious injuries and fatalities are potential hazards associated with misuse of portable and fixed ladders.
• • Face ladder when climbing up or down.
• • Use both hands and always haul tools and equipment up with a hand line or tool belt.
• • Move ladder when necessary to avoid overreaching.
• • Inspect ladders for cracked side rails and rungs, broken spreaders, or other damage before use. If the ladder is damaged, take it out of service. • • Tie down the ladder at the top and bottom if there is a chance it might slip. • • Equip all portable ladders with safety foot-pads.
• • Use stepladders as stepladders and not straight ladders. • • Return ladders to proper storage area after use.
• • Do not use metal ladders around electrical equipment. • • Do not ascend higher than the third rung from the top on straight ladders, or the second tread from the top on stepladders.
• • Ladders should extend 36 inches beyond top of landing. • • Place ladders so that the bottom of the ladder is one-quarter height away from the building or wall.
ALCOHOL AND ILLEGAL DRUGS
This section applies to alcohol and to all substances, drugs, or medications, legal or illegal, which could impair an employee's ability to effectively and safely perform the functions of the job. An employee reasonably believed to be under the influence of alcohol or drugs is prohibited from engaging in further work duties and shall be monitored for a reasonable time until he or she can be safely transported from the work site. In no event should the employee be allowed to operate a vehicle while under the Item No.7F
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influence of alcohol or drugs including driving home from work. Refusal to submit immediately to an alcohol and/or drug analysis when requested by City management or law enforcement personnel shall constitute insubordination and may be grounds for discipline up to and including termination.
SMOKE FREE WORKPLACE
State and local legislation prohibits smoking in enclosed places of employment. The
intent of these laws is to protect the health of people from second-hand smoke, a known cancer-causing agent. Smoking is not permitted in City buildings or vehicles. Smoking is not permitted within 20 feet of any of City’s building entrances, exits or air handling intakes.
VIOLENCE IN THE WORKPLACE
The City is committed to maintaining a workplace where all employees are treated with respect and dignity, and are free of violence, either by employees or the general public.
Any pushing, shoving, intimidating behavior, threatening language or assault/battery by an employee against another employee or a member of the public is prohibited. Any such action or behavior shall be reported to the appropriate supervisor or the Program Administrator immediately. The supervisor or Program Administrator may take appropriate disciplinary action in accordance with the City’s applicable Memoranda of Understanding.
Similar actions by a member of the general public on City property or against an employee in the course and scope of their employment with the City shall be reported to the employee’s supervisor and immediately forwarded to the Program Administrator or local law enforcement personnel.
PRACTICAL JOKES/HORSEPLAY
Practical jokes or horseplay with the potential for injury to employees while on the job is strictly prohibited. No employee shall distract the attention of another employee from his or her job in a manner which could cause injury.
CONTRACTORS/CONSULTANTS
As a condition of doing business with the City, all contractors who perform services and activities for the City shall conduct such services in a safe manner that complies with all applicable laws and regulations, and with the City’s health, safety and environmental rules. This requirement is intended to provide a safe workplace for both City and contractor personnel. A copy of the City’s IIPP should be made available to all contractors and consultants working on-site at City facilities.
SUMMARY
The purpose of this IIPP is to enable City management and their employees to communicate in an open, supportive manner and to work together in achieving a safe Item No.7F
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and healthful workplace. The benefits of promoting workplace safety are better employee morale, increased productivity, fewer lost workdays due to injuries, and lower
Item No.7F
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APPENDIX III
SystemSecurity&
EmergencyPreparedness
Plan
Division077
July/2021
www.mvtransit.com
Item No.7F
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Item No.7F
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Section 1. Table of Contents
Section1. TableofContents....................................................................................................................45 Section2. Foreward.................................................................................................................................48
2.1. PolicyStatement 48
2.2. SSEPPProgramPlanRevisionHistory 48
2.3. ReferenceDocuments 49
2.4. GlossaryofTerms 51
Section3. Introduction............................................................................................................................54
3.1. Background 54
3.2. Authority 54
3.3. Purpose,GoalsandObjectivesofSSEPPProgram 54
3.3.1 Purpose 55
3.3.2 Goals 56
3.3.3 Objectives 56
3.4. Scope 57
Section4. TransitSystemDescription.....................................................................................................58
4.1. OrganizationalStructure 58
4.2. OperatingCharacteristicsandService 58
4.2.1 ServiceArea 58
4.2.2 ServiceDesign 58
4.3. ServicesandFacilities 59
4.4. MeasuresofService 59
4.4.1 MethodologytoAchieveSSEPPGoals 60
4.5. HazardIdentificationandResolutionProcess(MILͲ882D) 61
4.5.1 HazardIdentification 61
4.5.2 HazardAssessment 61
4.5.3 RiskAssessment 63
4.6. FollowͲUp 64
Section5. SSEPPProgramRolesandResponsibilities.............................................................................65
5.1. Philosophy 65
5.2. DivisionofResponsibilities 65
5.2.1 AllPersonnel 65
5.2.2 SeniorVicePresidentofSafety&Training 66
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5.2.3 SSEPPProgramPointofContact(POC) 66
5.2.4 LocationSafetyCommittee(LSC) 67
5.2.5 Supervisors 68
5.2.6 BusOperators 69
5.2.7 OtherPersonnel 69
5.3. ResponsibilityMatrices 70
5.4. ExistingSSEPPCapabilitiesandPractices71
5.5. TrainingandExercising 72
5.6. CoordinationwithLocalPublicSafetyAgencies 73
5.7. CoordinationwithOtherTransitProviders 73
5.8. SecurityIncidentsTrendAnalysis 74
5.8.1 FacilitySecurity75
5.8.2 VehicleSecurity76
5.8.3 ManagementInformationSystemsSecurity 77
5.9. InternalSecurityPractices 77
5.10.ExternalSecurityComponent 78
Section6. ThreatandVulnerabilityResolutionProcess..........................................................................79
6.1. Threat,VulnerabilityandConsequenceIdentificationandResoulution 79
6.2. ThreatandVulnerabilityIdentification 79
6.3. ThreatandVulnerabilityAssessment 80
6.4. AllHazardsThreatandVulnerabilityIdentificationandAnalysis 81 Section7. EvaluationandModificationoftheSSEPP..............................................................................83
7.1. Evaluation 83
7.1.1 Internal83
7.2. ModificationandUpdate 83
Section8. ThreatLevelsandAlerts..........................................................................................................84
8.1. HomelandSecurityAdvisorySystem(HSAS)forTransit 84
8.1.1 LowCondition(Green) 84
8.1.2 GuardedCondition(Blue) 85
8.1.3 ElevatedCondition(Yellow) 85
8.1.4 HighCondition(Orange) 85
8.1.5 SevereCondition(Red) 86
8.1.6 ActiveIncident 86
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8.1.7 RecoveryPhase86
8.2. FederalBureauofInvestigationAlerts 87
8.3. PublicTransitInformationSharingandAnalysisCenter(PTͲISAC)87
8.4. HomelandSecurityInformationNetwork–PublicTransit(HSINͲPT) 88 Section9. Appendices..............................................................................................................................89
9.1. AppendixAVehicleSafetyProgramImplications89
9.2. AppendixB:SecurityBaselinePlanningWorksheet 92
9.3. AppendixC:EmergencyResponsePlanning,Coordination,andTrainingConsiderations 96
9.4. AppendixD:BombThreatChecklistandProcedures 98
9.5. AppendixE:TypesofPreparationExercises 10
9.6. AppendixF:ReportingCriminalActivity11
9.7. AppendixG:EmergencyActionPlan 12
9.7.1 Elements 13
i. EmergencyEscapeProceduresandRoutes 13
ii. EmployeeAccountabilityProceduresafterEvacuations 13 iii. RescueandMedicalDuties 13
iv. AlarmSystem 13
v. Training 14
9.7.2 EmergencyShutdownProcedures 14
9.8. AppendixH–ChemicalHazardCommunicationProgramPlan 16
Item No.7F
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Section 2. Foreward
2.1. Policy Statement
ItistheobjectiveofMVTransportation,Inc.(“MV”)toprovidesafe,secureandreliableserviceforits passengersandemployees.Todemonstratethiscommitment,MVhasdevelopedthisSecurityand EmergencyPreparednessProgramPlan.
MVhasasincereconcernforthewelfareandsafetyofitsemployees,contractors,andpublicsafety partners,aswellasthepublicitserves.TheoperationofMVrequiresacontinualemphasisonsecurity, fromtheprocurementofnewsystemsandequipment,throughthehiringandtrainingofemployees,to themanagementoftheagencyandtheprovisionofservice.Thesecurityfunctionmustbesupportedby aneffectivecapabilityforemergencyresponse,bothtosupportresolutionofthoseincidentsthatoccur ontransitpropertyandthoseeventsthataffectthesurroundingcommunityservedbyMV. Thisplandescribesthepolicies,proceduresandrequirementstobefollowedbymanagement, maintenanceandoperatingpersonnelinordertoprovideasecureenvironmentforagencyemployees, volunteers,andcontractors,andtosupporteffectiveemergencyresponse.Allpersonnelareexpected andrequiredtoadheretothepolicies,procedures,andrequirementsestablishedhereinandtoproperly anddiligentlyperformsecurityͲrelatedfunctionsasaconditionofemploymentorsupportforMV. Thesecurityfunctionmustbesupportedbyeffectiveemergencyresponsecapabilitiestoensurethat securityrelatedincidentsinvolvingoperationsandservicesarerespondedto,resolvedandrecovered fromquickly,safelyandefficiently.Tothisend,MVmanagementwillprovideleadershipinpromoting safety,securityandemergencypreparednessthroughouttheorganization.Thegeneralmanagerand themanagementstaffwillbecontinuallyanddirectlyinvolvedinformulating,reviewingandrevising securityandemergencypreparednesspolicies,goalsandobjectives. AllofMV’semployeesaregovernedbytherequirementsandtermsofthisplan,andmust conscientiouslylearnandfollowprescribedsecurityandemergencyrulesandprocedures.Employees shallmakesafetyafirstconcernwhenusingequipment,toolsandmaterials.Theyshallbeproperly trainedintheworkrulesandproceduresfortheirarea(s)ofresponsibility,includingcontingencyplans forabnormalandemergencyconditions.Eachemployeeshalltakeanactivepartintheidentification andresolutionofsecurityconcerns.
Supervisorsshallactivelyparticipateinallactivitiesregardingsecurityandemergencypreparedness; shallfullycooperatewiththepoliciesandobjectivesspecifiedinthisplan;andshallreceivethefull cooperationandsupportofexecutivemanagementintheiractivitiesforimprovedsecurityand emergencypreparedness.
Note:Thereferenceshereinto“MV”or“MVTransportation”describeMVTransportation,Inc.,to includeallitssubsidiaries,jointventures,partnerships,andaffiliates.
2.2. SSEPP Program Plan Revision History
Date Revision DescriptionofChange
Item No.7F
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Names
ThisPlanmustbeupdatedannually.
2.3. Reference Documents
Thefollowingareresourcesusedtodevelopthepoliciesandproceduresdocumentedin thisSSEPP:
Title:TransitSystemSecurityProgramPlanningGuide
Author(s):JohnBalogandAnneSchwarz
Year:1994
SponsoringAgency:FederalTransitAdministration(FTA) VolpeReport#:DOTͲVNTSCͲFTAͲ94Ͳ01
DOTNumber:FTAͲMAͲ90Ͳ7001Ͳ94Ͳ1
NTISNumber:PB94Ͳ161973
Available:http://www.transit-safety.dot.gov
Title:TransitSecurityHandbook
Author(s):AnnabelleBoydandJamesCaton
Year:1998
SponsoringAgency:FederalTransitAdministration(FTA) VolpeReport#:DOTͲVNTSCͲFTAͲ98Ͳ03
DOTNumber:FTAͲMAͲ90Ͳ9007Ͳ98Ͳ1
NTISNumber:PB98Ͳ157761
Available:http://www.transit-safety.dot.gov
Title:CriticalIncidentManagementGuidelines
Authors:AnnabelleBoydandJamesCaton
Item No.7F
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Year:1998
SponsoringAgency:FederalTransitAdministration(FTA) VolpeReport#:DOTͲVNTSCͲFTAͲ98Ͳ05
DOTNumber:FTAͲMAͲ26Ͳ7009Ͳ98Ͳ1
Available:http://www.transit-safety.dot.gov
Title:TransitSecurityProceduresGuide
Author(s):JohnBalogandAnneSchwarz
Year:1996
SponsoringAgency:FederalTransitAdministration(FTA) VolpeReport#:DOTͲVNTSCͲFTAͲ94Ͳ08
DOTNumber:FTAͲMAͲ90Ͳ7001Ͳ94Ͳ29
Available:http://www.transit-safety.dot.gov
Title:EmergencyPreparednessforTransitTerrorism
Authors:AnnabelleBoydandJohnP.Sullivan
Year:1997
SponsoringAgency:TransportationResearchBoard
ReportNumberTransitCooperativeResearchProgramSynthesisNumber27 Website:http://nationalacademies.org/trb/publications/tcrp/tsyn27.pdf
Title:PerspectivesonTransitSecurityinthe1990s:StrategiesforSuccess Author(s):AnnabelleBoydandPatriciaMaier
Year:1996
SponsoringAgency:FederalTransitAdministration(FTA) VolpeReport#:DOTͲVNTSCͲFTAͲ96Ͳ02
DOTNumber:FTAͲMAͲ90Ͳ7006Ͳ96Ͳ01
NTISNumber:PB96Ͳ185871
Available:http://www.transit-safety.dot.gov
Title:TransitSecurityinthe90's
Author(s):KathrynPowellandAnnabelleBoyd
Year:1996
Item No.7F
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SponsoringAgency:FederalTransitAdministration(FTA) Keywords:LocaltransitͲSecuritymeasures
VolpeReport#:DOTͲVNTSCͲFTAͲ96Ͳ11
DOTNumber:FTAͲMAͲ26Ͳ9009Ͳ97Ͳ01
NTISNumber:PB97Ͳ146989
Available:http://www.transit-safety.dot.gov
Title:ProtectingSurfaceTransportationSystemsandPatronsfromTerroristActivities –VolumeOne
Author:BrianMichaelJenkins
Year:January1997
SponsoringAgency:SanJoseUniversity,MinetaInternationalInstituteforSurface TransportationPolicyStudies
ReportNumber:IISTPS97Ͳ4
Fulltextavailableat:http://www.transweb.sjsu.edu/publications/terrorism/Protect.htm
Title:ProtectingSurfaceTransportationSystemsAgainstTerrorismandSeriousCrime –2001Update
Author:BrianMichaelJenkins
Year:October2001
SponsoringAgency:SanJoseUniversity,MinetaInternationalInstituteforSurface TransportationPolicyStudies
ReportNumber:IISTPS01Ͳ7
Fulltextavailableat:http://www.transweb.sjsu.edu/publications/terrorism/Protect.htm
Title:ImprovingTransitSecurity
Authors:JeromeA.NeedleandReneeM.Cobb,J.D,
Year:1997
SponsoringAgency:TransportationResearchBoard
ReportNumberTransitCooperativeResearchProgramSynthesisNumber21 Website:http://nationalacademies.org/trb/publications/tcrp/tsyn21.pdf
2.4. Glossary of Terms
Emergency: A situation which is life threatening to passengers, employees, or others, or which causes damage to any transit vehicle or Item No.7F
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facility or results in the significant theft of services and reduces the ability of the system to fulfill its mission.
Safety Committee: A group of MV Transportation employees, including senior safety manager, division safety and maintenance managers, division managers and supervisors, and union representatives.
Fatality: A transit-caused death that occurs within 30 days of the transit incident.
Injury: Any physical damage or harm to a person that requires immediate medical attention and hospitalization.
Safety: Freedom from danger.
Security: Freedom from intentional danger.
Security Breach: An unforeseen event or occurrence that endangers life or property and may result in the loss of services or system equipment.
Security Incident: An unforeseen event or occurrence that does not necessarily result in death, injury, or significant property damage but may result in a minor loss of revenue.
Security Threat: Any source that may result in a security breach, such as vandal or disgruntled employee; or an activity, such as an assault, intrusion, fire, etc.
System: A composite of people (employees, passengers, others), property (facilities and equipment), environment (physical, social, institutional), and procedures (standard operating, emergency operating, and training) which are integrated to perform a specific operational function in a specific
environment.
System Security: The application of operating, technical, and management techniques and principles to the security aspects of a system throughout its life to reduce threats and vulnerabilities at the most practical level and through the most effective use of available resources.
Management:
An element of management that defines the system security requirements and ensures the planning, implementation, and accomplishments of system security tasks and activities.
Item No.7F
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System Security
Program:
The combined tasks and activities of system security
management and system security analysis that enhance
operational effectiveness by satisfying the security
requirements in a timely and cost-effective manner through all phases of a system life cycle.
Threat: Any real or potential condition that can cause injury or death to passengers or employees or damage to or loss of transit equipment, property, and/or facilities.
Threat analysis: A systematic analysis of a system operation designed to identify threats and make recommendations for their
elimination or mitigation during all revenue and non-revenue operation.
Threat Probability: The probability a threat will occur. Threat probability may be expressed in quantitative or qualitative terms. An example of a threat-probability ranking system is as follows: (a)frequent, (b) probable, (c) occasional, (d) remote, (e) improbable, and (f) impossible.
Threat Resolution: The analysis and subsequent action taken to reduce the risks associated with an identified threat to the lowest practical level.
Threat Severity: A qualitative measure of the worst possible consequences of a specific threat:
Category 1 - Catastrophic. May cause death or loss of a significant component of the transit system, or significant financial loss.
Category 2 - Critical. May cause severe injury, severe illness, major transit system damage, or major financial loss.
Category 3 - Marginal. May cause minor injury or transit system damage, or financial loss.
Category 4 - Negligible. Will not result in injury, system damage, or financial loss.
Unsafe Condition
or Act: Any condition or act that endangers life or property.
Vulnerability: Characteristics of passengers, employees, vehicles, and/or facilities that increase the probability of a security breach.
Item No.7F
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Section 3. Introduction
3.1. Background
Vulnerabilitiesofpublicagencies,andthecommunitiestheyserve,toactsofterrorismandextreme violencehaveincreasedovertime.ThreatassessmentsissuedbytheFederalBureauofInvestigation (FBI)haveconsistentlyplacedpublictransportationatthetopofthecriticalinfrastructureprotection agenda,alongwithairports,nuclearpowerplants,andmajorutilityexchangesonthenationalpower grid.
Toestablishtheimportanceofsecurityandemergencypreparednessinallaspectsofourorganization, MVhasdevelopedthisSystemSecurityandEmergencyPreparedness(SSEPP)Plan.ThisSSEPPoutlines theprocesstobeusedbyMVtomakeinformeddecisionsthatareappropriateforouroperations, passengers,employeesandcommunitiesregardingthedevelopmentandimplementationofa comprehensivesecurityandemergencypreparednessplan. Asaresultofthisplan,MVhopestoachievenotonlyaneffectivephysicalsecurityprogram,butalsoto enhancecoordinationwiththelocalpublicsafetyagencies.Bettercommunicationwillincrease awarenessofMV’sresourcesandcapabilities,andimprovethecompany’sreadinesstosupportefforts tomanagecommunityͲwideemergencies.
Inordertobeeffective,theactivitiesdocumentedinthisSSEPPfocusonestablishingresponsibilitiesfor securityandemergencypreparedness,identifyingourmethodologyfordocumentingandanalyzing potentialsecurityandemergencypreparednessissues,anddevelopingthemanagementsystemthrough whichitcantrackandmonitorprogressinresolvingtheseissues.
3.2. Authority
TheauthorityforimplementingtheSSEPPresideswithMVTransportation’sCEOand/orCOO,MV employees,andtheclient.
ThisSSEPPhasbeendevelopedincooperationwiththeUnitedStatesDepartmentofTransportation’s FederalTransitAdministration(FTA)andtheFTA’sSystemSecurityandEmergencyPreparedness TrainingandTechnicalAssistanceProgram.ThisProgramsupportseffortstoaddressrequestsfromthe DepartmentofHomelandSecurityandtheadministratoroftheFTAtoreviewthecurrentlevelsof protectionandtointegratesecurityandemergencypreparednessmorefullyintoMV’soperations.
3.3. Purpose, Goals and Objectives of SSEPP
Thisplandemonstratestheprocessforaddressingsystemsecurityandemergencypreparedness:
SystemSecurity–Theapplicationofoperating,technical,andmanagementtechniquesandprinciplesto thesecurityaspectsofasystemthroughoutitslifetoreducethreatsandvulnerabilitiesatthemost practicallevelandthroughthemosteffectiveuseofavailableresources. Item No.7F
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EmergencyPreparedness–Auniformbasisforoperatingpoliciesandproceduresformobilizingtransit agencyandotherpublicsafetyresourcestoassurerapid,controlled,andpredictableresponsesto varioustypesoftransitandcommunityemergencies.
TheSSEPPwillsupportMV’seffortstoaddressandresolvecriticalincidentsonitspropertyandwithin itscommunity.
CriticalIncidents–mayincludeaccidents,naturaldisasters,crimes,terrorism,sabotage,civilunrest, hazardousmaterialsspillsandothereventsthatrequireemergencyresponse.Criticalincidentsrequire swift,decisiveactionfrommultipleorganizations,oftenunderstressfulconditions.Criticalincidents mustbestabilizedpriortotheresumptionofregularserviceoractivities. Criticalincidentsoftenresultfromemergenciesanddisasters,butcanbecausedbyanynumberof circumstancesorevents.Successfulresolutionofcriticalincidentsrequiresthecooperativeeffortsof bothpublictransportationandcommunityemergencyplanningandpublicsafetyagencies. MVhasestablishedcriteriaforacriticalincident:
Element of Definition Agency Threshold
Service Interruption Inability to provide service
Duration of Interruption 2 hours (system wide)
24 hours (single route)
Injuries and Fatalities
2 or more injuries requiring
hospitalization
1 or more fatalities
Dollar Amount of Property Damage $25,000
3.3.1 Purpose
ThepurposeoftheSSEPPistoestablishformalmechanismstobeusedbyallMVemployees,and contractorsinalldepartmentsto:
Identify hazards associated with MV Transportation systems. Eliminate, minimize or control these hazards.
Coordinate and establish system safety throughout the company. Provide a leadership safety document that is fluid and changing with our operating environments.
TheSSEPPwillbeusedasameansofpreventinginjuries,accidentsandotherlosses.Itdemonstrates MV’scommitmenttosafetyandcompliancethroughlosspreventionprograms.Theplanisconsistent withfederal,stateandlocalregulations,andassuresthatindustrystandardsaremaintainedin Item No.7F
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accordancewiththeSSEPPstandardsoftheAmericanPublicTransportationAssociation(APTA)andthe FederalTransitAdministration(FTA).
3.3.2 Goals
TheoverallgoalofMV’sSSEPPistoestablishthehighestreasonablelevelofsecuritythatcanbe affordedtoallpassengers,contractors,employees,equipmentandfacilities.SpecificgoalsoftheSSEPP areasfollows:
Identify, eliminate, minimize and/or control safety hazards and their associated risks.
Provide a superior level of safety in our transit operations. Support the safety efforts of the FCDOT.
Achieve and maintain a superior level of safety in the company’s work environment.
Comply with the applicable requirements of regulatory agencies. Develop relations and coordination with local law enforcement agencies and local and state government agencies.
3.3.3 Objectives
Althougheverythreatcannotbeidentifiedandresolved,MVcantakestepstoimproveawareness,to betterprotectpassengers,employees,facilitiesandequipment,andtostandreadytosupport communityneedsinresponsetoamajorevent.Tothisend,theSSEPPhasthefollowingobjectives: Establish safety policies, procedures and requirements that integrate safety into decision-making and operations.
Define roles and responsibilities related to safety policies, procedures, and requirements.
Thoroughly investigate all accidents, fires, injuries and near misses. Identify, analyze and resolve all hazards in a timely manner. Meet or exceed safety requirements in specifications, equipment installation, system testing, and operations and maintenance.
Meet or exceed safety requirements in vehicle operations and maintenance. Evaluate and verify operational readiness of new contracts. Minimize bus and van system modifications on company vehicles in the operational stages by offering suggestions and information during the design and build stages.
Thoroughly evaluate the safety implications of all proposed system modifications prior to implementation.
Establish doctrines, standards and procedures for employee qualifications, selection, training and performance.
Develop a management structure to maintain, evaluate and modify the plan.
Item No.7F
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Enable employees, contractors, passengers and other personnel to identify criminal acts, suspicious activities and occurrences, or other security concerns within MV’s operations and to properly report and address such events. Solicit security concerns from employees, contractors and passengers. Implement an annual security review and assessment process and verify adherence to MV’s security policies, procedures and requirements. Administer security-related training courses to address security threats and emergency response.
Limit security breaches and effectively resolve those that do occur. Thoroughly investigate all incidents involving security breaches or other security- related threats or vulnerabilities.
Thoroughly evaluate the security implications of all proposed system modifications before implementation and ensure that system modifications do not create new security risks.
Address items covered by the TSA/FTA Security and Emergency Management Action Items for Transit Agencies.
Address items covered by the BASE, as applicable that are not already included above.
3.4. Scope
MV’sSSEPPisapplicabletoallaspectsofourcurrentservice,ensuringthatouroperations,training, coordinationwithlocalpublicsafetyagencies,andgeneralsecurityandemergencypreparedness planningaddressconcernsresultingfromheightenedthreatlevels.KeyelementsoftheSSEPPinclude: An evaluation of our current capabilities to identify and prevent security incidents that may occur on our property.
Development of a vulnerability assessment program to identify our weaknesses and guide planning activities.
Improved physical security.
Review and expansion of our training program for security and emergency response.
Enhanced emergency planning and procedures development. Improved coordination with the public safety agencies in our service area.
Item No.7F
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Section 4. Transit System Description
4.1. Organizational Structure
Thefollowingindividualsareresponsibleforleadingsecurityinitiativesinthecompanyandfor placementwithintheorganizationtosupportthesecurityandemergencypreparednessstructureofMV Transportation,Inc.;includingallemployees,volunteers,andsubcontractors:
4.2. Operating Characteristics and Service
4.2.1 Service Area
MVoperatestransportationservicesinmanycommunitiesacrossthenationfortransitauthorities, cities,counties,stateagencies,privateparties,andanyotherentitiesthatdesirehighquality,cost effectivetransportationservices.MVhasbecomeoneofthelargesttransportationmanagementfirms intheUnitedStates.
4.2.2 Service Design
MVprovidesthefollowingtypesofservices:
Fixed Route
Paratransit
Shuttle Services (corporate and airport)
CEO
COO
Group Presidents
Vice President
Maintenance Vice President of Safety & Training
Directors of Safety
Safety Manager
Managers
Location Safety
Committees (LSC)
Item No.7F
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Demand Response
Route Deviation
Checkpoint Service
Zone Service
Vanpools
4.3. Services and Facilities
MVhasbeenprovidingtransitservicessinceitsinceptionin1975;andhasgrownintooneofthelargest transportationcontractingfirmsintheUnitedStates.Thecompanyisaprofessionalandinnovative contractorwhosuppliestopquality,safe,andreliabletransitservicetoourclientsatareasonableprice. Paratranist
MV has provided paratransit services since its company’s founding in 1975, predating theAmericans with Disabilities Act. MV’s experience in paratransit operations range from countywide ADA paratransit services to door-to-door stair- assist ADA paratransit services. Included in the scope of many of these services, MV operates reservations and dispatch call centers using a variety of different reservation and dispatch systems.
Fixed Route
MV’s fixed route services range from small employee shuttle bus services to large transit operations in major US cities. MV has helped its customers establish new services and expandexisting fixed route systems to further meet passenger demand.
Fleet Services
Most MV locations have a dedicated on-site maintenance shop. The shops are either owned by our clients or leased by MV.
4.4. Measures of Service
TypicalModesofService:DemandResponseandfixedroute Measure ofService Indicator Exposure
Fixed route Public bus stops, shelters, transit centers Paratransit Door-to-door, curb-to-curb, other
Special trip requests Outside public domain
Charter Outside public domain
Other Outside public domain
Multi-modal services Outside public domain
Item No.7F
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4.4.1 Methodology to Achieve SSEPP Goals
ThemethodologyusedinachievingSSEPPgoalsandobjectivesinvolveshavingallofMV’spersonnel takeintoconsiderationthesafetyimplicationsoftheirdecisionsandactions.Itusesaproactive approachthatstresseslookingatsystemsandproposedmodificationstothesesystemsfromasafety perspectivebeforelossesoccur.
TheSSEPPattemptstoaccomplishthisthroughthefollowingfivesteps:
1. Gaininganunderstandingofsystemfunctionsandtheinterrelationshipsamong them.
2. Identifyingthecriticalelementsandstepsnecessarytoensurethatexistingor plannedsystemsachievethedesiredlevelofsafety.
3. Establishingaprocessinwhichmanagementcontrolsareusedtoensurethese safetycriticalelementsandstepsareconsistentlycarriedout.
4. Monitoringsystemstoensurecompliancewiththeserequirements.
5. Improvingtheprocessbyreviewingtheeffectivenessofmanagementcontrols inachievingthedesiredlevelofsafety,andmodifyingsafetycriticalelements andstepsonacontinuingbasis.
WhilethesefivestepsdescribethemethodologyoftheSSEPP,theyalsocanbeusedatanylevelofthe organizationasameansofmaximizingthesafetyofallsystems.Thesafetycommitteehasarolein executingthefunctionsnecessarytocarryoutthismethodology,asdoalldepartmentsanddivisions. SpecificsafetyͲrelatedtasksofthesafetycommitteeareasfollows: Coordinate safety activities of the company.
Meet to evaluate and resolve system safety issues that have not been resolved at the department level.
Conduct monthly meetings.
Assign its members, as well as other departments, tasks as necessary to address system safety issues.
Assist in the investigation of accidents and incidents as appropriate or requested by management or asafety committee member.
Review maintenance records and failure reports to identify safety problems related to maintenance activities.
Evaluate proposed system modifications from a safety perspective. Upon request, evaluate hazard resolutions proposed by other organizational units. Use committee consensus to develop hazard resolutions. Bring feedback from department subcommittees to the safety committee. Report activities of the safety committee to MV senior management, and the FCDOT as needed.
Item No.7F
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4.5. Hazard Identification and Resolution Process (MIL - 882D) TheprocessofidentifyingandresolvinghazardsinthesystemisbasedontheFTAandAPTA’s adaptationofU.S.MilitaryStandardMILͲ882D.Itinvolvesthreestages:hazardidentification,hazard assessmentandhazardresolution.Adescriptionofthisprocessfollows:
4.5.1 Hazard Identification
Hazardidentificationisaprocesswherebyanattemptismadetodiscoverconditionsinthesystem which,ifnotalteredhavethepotentialtocauseaccidents,injuriesorotherlosses.Allemployeesare chargedwiththeresponsibilityofidentifyingandreportingconditionsthathavethepotentialtocause accidents,injuriesorotherlosses.Theseconditionsmaybefoundintheformofphysicalhazards, unsafeactions,andpoliciesthatcreateorfailtorecognizehazards.Therealsomaybecertain employeeswho,throughperiodicfieldobservations,reviewofincidentandcomplaintdata,and performanceandcomplaintrecords,areidentifiedasneedingspecialcounseling,retrainingorreͲ assignment.
Potentially hazardous conditions also may be identified through other means, including those listed below:
Reports from passengers and other individuals through contact with our client customer service, field personnel, or management personnel. Reports from operators and other field personnel regarding hazards associated with agency vehicles, schedules, routes, policies and procedures. Reports from maintenance personnel regarding equipment and facilities maintenance hazards.
Investigation and review of accidents and incidents by safety personnel. Collection and analysis of accident statistics and risk management information systems data regarding safety, accident rates and claims reports. Safety audits performed by knowledgeable system personnel. Information, experiences and ideas from support departments. Observations of facilities and operations in the workplace, including offices, by agency personnel.
Conditions that have been identified as hazardous or potentially hazardous are reported to the department head and the MV safety committee. The report may be made verbally or by use of a Hazard ID Form. If the department has not been able to correct the condition within 30 days of receipt of the verbal or written report, the item is placed on the agenda of the next meeting of the safety committee.
4.5.2 Hazard Assessment
Hazard assessment involves determining whether assuming some or all of the risk associated with a particular hazard would be acceptable and whether corrective action is called for. It involves hazard severity, hazard probability and risk assessment.
Item No.7F
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Hazard Severity
Hazard severity is a subjective measure of the worst credible mishap that could be expected to result from human error, environmental conditions, design inadequacies, subsystem or component failure or malfunction, and/or procedural deficiencies.
Using U.S. Military Standard MIL-882D, the safety committee assigns one of four severity categories:
Hazard Severity Table
Category Description
1 – Catastrophic Death or system loss
2 – Critical Severe injury, severe occupational illness or major system damage
3 – Marginal Minor injury, occupational illness or system damage
4 – Negligible Less than minor injury, occupational illness or system damage
Hazard Probability
The likelihood that a hazard will be experienced during the planned life expectancy of the system can be estimated in potential occurrences per unit of time, events, population, items or activity. The probability may be derived from research, analysis and evaluation of historical safety data. Hazard probabilities are ranked as shown in the following table:
Hazard Probability Table
Probability Level Description
A – Frequent Likely to occur frequently. Continually experienced in the fleet/inventory.
B – Probable Likely to occur several times in life of an item.
Likely to occur frequently in the fleet/inventory.
C – Occasional Likely to occur sometime in life of an item.
Likely to occur several times in the fleet/inventory.
D – Remote Unlikely, but possible to occur in the life of an item.
Reasonably expected in the fleet/inventory.
E – Improbable So unlikely, occurrence is not expected.
Item No.7F
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Unlikely to occur, but possible in the fleet/inventory.
4.5.3 Risk Assessment
After assessment of the severity and probability of a hazard, key departments and the safety committeewill use a standard analysis. A determination will be made regarding acceptance of the risk or taking corrective action. Risk assessment issues of significant impact will be submitted to thevice president of safety. This procedure also will be followed if there are issues where there is a lack of consensus by the department involved and the safety committee.
Risk Assessment Frequency/Severity Matrix
Severity
Frequency 1
Catastrophic
2
Critical
3
Marginal
4
Negligible
A–Frequent 1/A 2/A 3/A 4/A
B–Probable 1/B 2/B 3/B 4/B
C–Occasional 1/C 2/C 3/C 4/C
D–Remote 1/D 2/D 3/D 4/D
E–Improbable 1/E 2/E 3/E 4/E
Hazard Resolution
Aftertherisksareassessed,aplanisdevelopedforresolution.Thereareessentiallyfourchoicesinthe hazardresolutionprocess,asshownintheHazardResolutionTablebelow. Hazard Resolution Table
Severity/Frequency Resolution
1/A|1/B|1/C|2/A|2/B|3/A
|
UnacceptableͲcorrectionrequired.
1/D|2/C|2/D|3/B|3/C| UnacceptableͲcorrectionmayberequired afterreviewbyGeneralManager.
1/E|2/E|3/D|3/E|4/A|4/B
|
AcceptableͲwithreviewbyProjectManager
4/C|4/D|4/E| AcceptableͲwithoutreview.
Thefollowinghierarchyisusedtoeliminateorcontrolhazardsinthesystem: DesignforMinimumRisk.Provisionsaremadeinalldesignsfortheidentificationandeliminationof hazardsthroughappropriatesafetydesignconcepts,suchasfailͲsafedesignsandredundancy.Ifthe Item No.7F
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identifiedhazardscannotbeeliminated,theyarecontrolledthroughreducingtherisktoanacceptable level.
UseofSafetyDevices.Hazardsthatcannotbeeliminatedthroughdesignselectionarereducedtoan acceptablelevelofriskthroughtheuseoffixed,automatic,orotherprotectivesafetydesignfeaturesor devices.Thedesignprovidesforperiodicfunctionalchecksofsafetydevices. UseofWarningDevices.Whenneitherdesignnorsafetydevicescaneffectivelycontrolanidentified hazard,devicesareusedtoprovidetimelydetectionofthehazardandtogenerateadequatewarning signals.Theapplicationofthesedevicesshallbedesignedtominimizetheprobabilityofincorrect reactiontothewarningbyemployeesorotherindividuals. ProvideSpecialProcedures.Whereitisimpossibletoeliminateoradequatelycontrolhazardsthrough design,safetydevicesoruseofwarningdevices,proceduresandtrainingareusedtocontrolthehazard. PrecautionarynotationisstandardizedandsafetyͲcriticaltasksrequirecertificationthroughcompletion ofMVͲapprovedtrainingcourses.
4.6. Follow-Up
FollowͲupofimplementedresolutionsistheresponsibilityofboththesafetydepartment,andthe involveddepartment(s).Twoprimarymethodsareused:
Statistical Analyses: Careful review of safety data, such as accident reports, claims, customer complaints, etc., should continue for an acceptable time period after the implementation of a hazard resolution. Comparison of “before-and- after” statistics also can provide confirmation.
Audits. Auditing of the implementation resolution, including selective interviewing of involved parties, surveillance, blind studies and use of inspectors.
If the resolution is not fulfilling the original objective or if implementation is inadequate, the safety department will be responsible for taking appropriate action.
Item No.7F
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Section 5. SSEPP Program Roles and Responsibilities
5.1. Philosophy
MVhopestoensurethat,ifconfrontedwithasecurityeventormajoremergency,personnelwill respondeffectively,usinggoodjudgment,ensuringduediligence,andbuildingonbestpractices, identifiedindrills,training,rulesandprocedures.
Thislevelofproficiencyrequirestheestablishmentofformalmechanismstobeusedbyallpersonnelto identifysecuritythreatsandvulnerabilitiesassociatedwithMVTransportationoperations,andto developcontrolstoeliminateorminimizethem.SSEPPalsorequiresMVTransportationprocessfor: Coordinating with local law enforcement and other public safety agencies to manage response to an incident that occurs on a transit vehicle or affects transit operations, and
Identifying a process for integrating MV Transportation resources and capabilities into the community response effort to support management of a major event affecting the community.
Management expects all employees, and contractors, especially those working directly with passengers, to support the SSEPP.
5.2. Division of Responsibilities
5.2.1 All Personnel
MV personnel must understand and adopt their specific roles and responsibilities, as identified in the SSEPP, thereby increasing their own personal safety and the safety of their passengers, during normal operations and in emergency conditions.
To ensure the success of the SSEPP, the following functions must be performed by MV Transportationpersonnel:
Immediately reporting all suspicious activity, no matter how insignificant it may seem, to the general manager or his/her designee.
Immediately reporting all security incidents.
Using proper judgment when managing disruptive passengers and potentially volatile situations.
Participation in all security and emergency preparedness training, including drills and exercises; with at least one drill performed annually at each division. Becoming familiar with, and operating within all security and emergency preparedness procedures for the assigned work activity. Notifying the general manager or his/her designee when a physical or mental condition, or required medications or therapies, may impair an individual’s ability to perform security or emergency preparedness functions.
Item No.7F
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Accurately completing “employee statements” on appropriate reports.
5.2.2 Senior Vice President of Safety & Training
Under the authority of the MV’s Board of Directors and the chief operating officer (COO), the senior vice president safety has the overall authority to develop and execute the agency’s SSEPP . Ultimate accountability for implementation of the SSEPP rests with the MV’sgeneral managers at the divisions. In addition, the general manager is responsible for the following specific activities at their division:
Ensuring that sufficient resources and attention are devoted to the SSEPP, including:
Ȇ Implementation of standard localized operating procedures related to employee security duties.
Ȇ Enforcement of company safety and security regulations at their division.
Ȇ Implementation of emergency operating procedures to maximize transit response effectiveness and minimizing system interruptions during emergencies and security incidents.
Ȇ Provision of proper training and equipment to division employees to allow an effective response to security incidents and emergencies.
Ȇ Ensuring all employees receive security awareness training.
Ȇ Annual drills to measure effectiveness.
Development of a localized effective notification and reporting system for security incidents and emergencies.
Designating a point of contact (POC) to manage the SSEPP (this could be the operations manager or location safety manager).
Communicating security and emergency preparedness as top priorities to all employees.
Developing relations with outside organizations that contribute to the SSEPP, including local public safety and emergency planning agencies. Establishing and implementing a voluntary location safety committee (LSC).
5.2.3 SSEPP Program Point of Contact (POC)
To ensure coordinated development and implementation of the SSEPP, thesenior vice president of safety and general manager has designated Safety Manager as the Security and Emergency Preparedness Point of Contact (POC) for development and implementation of the SSEPP. The POC, who reports directly to the general manager has been granted the authority to use MV’sresources to develop the SSEPP, and to monitor its implementation, and to ensure attainment of security and emergency preparedness goals and objectives.
Item No.7F
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The POC has the responsibility for overseeing the SSEPP on a daily basis. The POC will be the direct liaison with the division’s operators and dispatchers, regarding the plan. The POC will also serve as the TO Transit primary contact with MV. To the extent that liaison is necessary with state and federal agencies, the POC will serve as the lead liaison for the agency. The POC will also be responsible for the security- related agenda items for location safety committee meetings and actions. In managing the program, in concurrence with the client, the POC will:
Be responsible for successfully administering the SSEPP and establishing, monitoring, and reporting on the system’s security and emergency preparedness objectives.
Review current agency safety, security and emergency policies, procedures, and plans, and identifying needed improvements.
Develop and implement plans for addressing identified improvements. Coordinate with local public safety agencies, local community emergency planning agencies, and local human services agencies to address security and emergency preparedness; including participation in formal meetings and committees. Develop, publish, and enforce reasonable procedures pertinent to agency activities for security and emergency preparedness.
Provide adequate driver training and continuing instruction for all employees,and contractors regarding security and emergency preparedness. Review new agency purchases to identify security related impacts. Ensure performance of at least one (1) emergency exercise annually.
5.2.4 Location Safety Committee (LSC)
Given the nature and scope of the MV’s operations, it has been determined that a separate security committee is unnecessary. As a continuing responsibility of the LSC, there will be a permanent agenda oriented toward security and emergency preparedness matters, ranging from comments on the management of the SSEPP to liaison with public agencies and feedback from employees. It will also be an ongoing part of the security agenda to determine the level of compliance with agency policies, rules, regulations, standards, codes, procedures, and to identify changes or new challenges as a result of incidents or other operating experience.
The POC will be responsible for managing the security agenda during the LSC meetings. When appropriate, members of local fire and police departments will be invited to participate in the security portion of the safety committee meetings.
The LSC provides the primary mechanism through which the division:
Identifies security conditions and problems at the agency. Organizes incident investigations and develops and evaluates corrective actions to address findings.
Obtains data on agency security performance.
Develops strategies for addressing agency security problems.
Item No.7F
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Coordinates the sharing of security responsibilities and information. Manages the integration of security initiatives and policies in agency operations. Evaluates the effectiveness of the security program.
Ensures document reviews and configuration management. Manages the development and revising of agency policies, procedures, and rulebook.
Coordinates interaction with external agencies.
TheLSCalsoensuresthatallagencyemployees,andcontractors: Have a full knowledge of the security program and emergency preparedness programs.
Make security and emergency preparedness a primary concern while on the job. Cooperate fully with the agency regarding any incident investigation. Raise security and emergency preparedness concerns.
5.2.5 Supervisors
Supervisorsareresponsibleforcommunicatingthetransitagency’ssecuritypoliciestoallemployees, andcontractors.Forthisreason,supervisorsmusthavefullknowledgeofallsecurityrulesandpolicies. SupervisorsmustcommunicatethosepoliciestoMVoperationspersonnelinamannerthatencourages themtoincorporateSSEPPpracticesintotheireverydaywork.Thespecificresponsibilitiesof supervisorsincludethefollowing:
Ensuring that drivers make security and emergency preparedness a primary concern when on the job.
Cooperating fully with the SSEPP regarding any accident investigations as well as listening and acting upon any security concerns raised by the drivers. Immediately reporting security concerns to the general manager. Having full knowledge of all standard and emergency operating procedures.
Inaddition,whenrespondingtoanincident,supervisorsareexpectedto: Provide leadership and direction to employees during security incidents. Handle minor non-threatening rule violations.
Defuse minor arguments.
Determine when to call for assistance.
Make decisions regarding the continuance of operations. Respond to fare disputes and service complaints.
Respond to security related calls with police officers when required, rendering assistance with crowd control, victim/witness information gathering, and general on-scene assistance.
Item No.7F
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Complete necessary security related reports.
Take photographs of damage and injuries.
Coordinate with all outside agencies at incident scenes.
5.2.6 Bus Operators
In addition to the general responsibilities identified for all personnel, bus operators are responsible for exercising maximum care and good judgment in identifying and reporting suspicious activities, in managing security incidents, and in responding to emergencies. Each operator will:
Take charge of a security incident scene until the arrival of supervisory or emergency personnel.
Collect fares in accordance withcontract and/or divisionpolicy. Attempt to handle minor non-threatening rule violations. Respond verbally to complaints.
Attempt to defuse minor arguments.
Determine when to call for assistance.
Maintain control of the vehicle.
Report all security incidents to agency dispatch.
Complete all necessary safety-related reports support community emergency response activities as directed by MV policies and procedures.
5.2.7 Other Personnel
Other personnel who support MV also have responsibilities for the SSEPP Program.
Dispatchers are expected to:
Receive calls for assistance.
Dispatch supervisors and emergency response personnel. Coordinate with law enforcement and emergency medical service communications centers.
Notify supervisory and management staff of incidents. Establish on-scene communication.
Complete any required safety-related reports.
Provide direction to on-scene personnel.
Mechanics (including contractors) are expected to:
Report vandalism.
Item No.7F
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Report threats and vulnerabilities of vehicle storage facilities. Provide priority response to safety and security critical items such as lighting. Maintain facility alarm systems.
Human Resources personnel are responsible for:
Ensuring all pre-employment screening processes are carried out effectively. Notifying the executive director of employee disciplinary action that may result in the affected employee becoming a risk to MV facilities, systems, passengers, employees, or other assets.
Educating employees on employee identification policy and procedure.
Communications (Marketing-Customer Service-Community Relations) are responsible for:
Requesting assistance from transit public safety resources as needed for special events, usually from our client(s).
Providing insight into potential threats and vulnerabilities through feedback from customer focus groups and other information sources.
Designating a public information officer (PIO) for media contact regarding security incidents and issues.
Coordinating community oriented policing efforts and programs with officers assigned to community oriented policing duties by the public safety and security administrator.
5.3. Responsibility Matrices
The operation of MV’s servicesrequires a continual emphasis on security, this includes: procurement of new systems and equipment, hiring and training of employees, management of the agency and the provision of service, and the rehabilitation and disposal of existing equipment and facilities. The security function must be supported by an effective capability for emergency response, both to support resolution of incidents which occur on transit property and events which affect the surrounding community served by MV.
Tasks have been identified to provide direction in implementation of this SSEPP.
These tasks are on-going and are considered minimum requirements. Tasks are identified in the matrices below. Also identified is the organizational/participant responsibilities for each task, as designated by the following code:
P
Primary Task Responsibility. The identified participant(s) is (are) responsible for the preparation of the specified documentation.
S Secondary or Support Responsibility. The identified participant(s) is (are) to provide the necessary support to accomplish and document the task.
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R Review/Comment Responsibility. The identified participant(s) is (are) to review and provide comment on the task or requirement.
A Approval Responsibility. The identified participant is to review, comment and subsequently approve the task or requirement.
A security task matrix should be presented showing interfaces with other units and the key activities required, including the frequency of those activities System Security
Emergency Preparedness
5.4. Existing SSEPP Capabilities and Practices
Asummaryoftheexistingproactivemethods,procedures,andactionstoprevent,deter,orminimize securityincidentsinclude:
Emphasis on agency personnel awareness.
Participation in security awareness training.
Host annual meeting with local law enforcement.
Annual meeting with local emergency management agency.
SystemSecurityTasks GM POC Safety
Committee
Ops&
Maint.
Supervisor Dispatch Frequency
Conductcriminal
backgroundinvestigatgions
ofemploymentapplicants
X
Conductfacilitywalkaround
inspections
X X X
Checkdivisionsecurity
equipmentsuchascameras,
fences,gates,lighting,etc.
X
Checkandchallengeunkn
ownpersonnelonproperty
X
EmergencyPreparedness GM POC Safety
Committee
Ops&
Maint.
Supervisor Dispatch Frequency
Meetandlookatsecurity/
emergencyplan
X Quart.
Conductdivisionsecurity/
Emergencyawarenessdrill
X X Y,AR
Updateandmaintain
emergencyresponseplan
X X
Checkemergency
preparednessinventory
items
X X X
Investigateanysuspicious
activitiesorunusualevents
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Analysis of security incidences and suspicious activity to determine a proper course of action including:
Ȇ Identifying potential and existing problem areas.
Ȇ Developing action plans.
Ȇ Implementing the plans.
Ȇ Measuring results.
Review of transit agency emergency plans.
Review of MV documentation on system security and emergency preparedness. Evaluation of security/emergency response procedures for completeness and accuracy.
Asummaryofotherexistingproactiveactionsandsystemstoprevent,deterorminimizesecurity incidencesincludes:
Conducting security surveys with local law enforcement as a formal threat and vulnerability analysis process.
Local police notification/participation in employee discharge and/or discipline process as needed.
Evaluation of security/emergency response procedures for completeness and accuracy.
Participation by local law enforcement in training of new drivers as requested to increase awareness in security matters.
Presentations by local police and transit agency personnel to employees, the public or other groups interested in transit security matters. Development and distribution of crime prevention information on agency brochure for passengers and the public.
5.5. Training and Exercising
ThedivisionshouldformulateSSEPPtrainingandexercisingplan,takingintoaccounttheconsiderations identifiedbelow:
This section should describe basic and refresher security and emergency related training programs for personnel with associated responsibilities Description of all security-related training including refresher for non-security staff provided, including content, duration, grading standards, and maintaining course content for each training class.
Description of the process used to identify security-related training needs, to develop and present training classes, and to determine qualifications for instructors.
This section should explain how MV determines what training to offer and ensures that all individuals are trained appropriately. This should include a discussion of the required qualifications for instructors
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5.6. Coordination with Local Public Safety Agencies
Identify(bynameandcontactnumber)thelocallawenforcement,fireservices,emergencymedical services,andemergencyplanningagencieswithinthetransitagency’sservicearea Tosupportimprovedemergencyandincidentpreparednessandresponse,MVTransportation,Inc.will participatein,ataminimum,oneexerciseordrillwithlocalpublicsafetyorganizationsinorderto: Review current plans and policies.
Identify current security and emergency considerations. Develop procedures, if necessary.
Establish and maintain ongoing communication.
5.7. Coordination with Other Transit Providers
Identify(bynameandcontactnumber)transitagenciesorothercontractproviderswithinyourcounty orneighboringcountiesthatmayneedtobecontactedintheeventofacriticalincident. Security Incident Recording
Thesafetymanagerrecordsallcriminalactivitythattakesplaceonthesystem.Muchofwhatthe agencyrecordsisalsoreportedtotheNationalTransitDatabase(NTD)onaperiodicbasis.TheNTD’s guidelinesforwhatactivitiestoreportandwhenarefoundat http://www.ntdprogram.gov/ntdprogram/safety.htm.Thesafetymanagercompletesastandardized reportthatidentifiesallsignificantsecurityincidentsinvolvingtransitagencystaff,contractors,patrons, equipmentorfacilities.Thisstandardizedformincludingthecrimeresultsfromthepreviouscalendar yearisshownontheReportedTransitCrimesformbelow. Reported Transit Crimes
SecurityIncident NumberofOccurrences
TerrorismͲrelated
incidents
Bombthreat 0
Bombing 0
Chemical/biological/radiological/nuclear(CBRN)
release
0
Othersystemsecurity
incidents
Arson 0
Sabotage 0
Hijacking 0
Cybersecurityevent 0
Aggravatedassault 0
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SecurityIncident NumberofOccurrences
Otherpersonal
incidents
Burglary 0
Fareevasion1 0
Forciblerape 0
Larceny/theft 0
Homicide 0
Motorvehicletheft 0
Robbery 0
Suicide 0
Trespassing1 0
Vandalism1 0
5.8. Security Incidents Trend Analysis
MV hasdevelopedinternalmetricstofacilitatetrendanalysis.Theresultsoftheanalysiscanassistthe divisioninallocatingresourcesandsupportingsecurityenhancementsandfixedsiteimprovements. Usingtheannualstandardizedform,thesafetymanagerrecordsallsignificantsecurityincidentsona yearͲbyͲyearbasistoidentifytrendsincriminalactivity.Theresultsoftheanalysisarecontainedin TransitCrimeTrendsformbelow.
Transit Crime Trends
SecurityIncident
NumberofOccurrences Percentage
Change2019 2020 2021
TerrorismͲ
related
incidents
Bombthreat 0 0 0
Bombing 0 0 0
CBRNrelease 0 0 0
1Report only those incidents that result in arrests.
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SecurityIncident
NumberofOccurrences Percentage
Change2019 2020 2021
Othersystem
security
incidents
Arson 0 0 1
Sabotage 0 0 0
Hijacking 0 0 0
Cybersecurity 0 0 0
Other
personal
incidents
Aggravated
assault
0 0 0
Burglary 0 0 0
Fareevasion1 0 0 0
Forciblerape 0 0 0
Larceny/theft 0 0 0
Homicide 0 0 0
Vehicletheft 0 0 0
Robbery 0 0 0
Suicide 0 0 0
Trespassing2 0 0 0
Vandalism2
5.8.1 Facility Security
Crime and terrorism prevention in the transit environment begins with the securing of facilities where passengers are present, where personnel work and where vehicles are stored. This requires a keen awareness of security issues and close cooperation among all levels of transit personnel. MV’s facilities have security features to limit the
2Report only those incidents that result in arrests.
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chances of a security breach or attack on the system. For a more detailed description of the security functions, capabilities and provisions that are common at each facility, see the Facility Security Features form below.
Facility Security Features
External
Fencing X
Lighting X
Sensors
Guard post
Gate arms X
Motion detectors
Burglar systems
Intrusion alarms
Closed-circuit TV (CCTV) X
Public address systems
Panic button (to police or security)
Card or controlled access X
Law enforcement presence (24/7)
Security guard presence (off-hours)
Law enforcement patrol X
Law enforcement canine patrol
Internal
Intrusion alarms
Motion detectors
Closed-circuit TV (CCTV)
Card or controlled access X
Public address systems
5.8.2 Vehicle Security
MV has implemented some security features and practices for increasing the safety and security of its vehicles. In addition to security equipment, vehicle operators are currently required to perform inspections on their assigned vehicles at the beginning Item No.7F
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and end of each work shift. The inspection checklists are tailored for each vehicle and reviewed daily by maintenance personnel who are responsible for correcting problems. The inspections include but are not limited to identification of suspicious packages.
Vehicle Security Features
Security features Rail cars Buses Support
Vehicles
Automatic vehicle location (AVL) system X
Global positioning system (GPS) X
Radios X
Direct phone
Covert or silent alarms X
Radio speakers X
Driver’s only speakers
Onboard cameras (audio capable) X
Audio microphones X
5.8.3 Management Information Systems Security(MISS)
MV’s information technology (IT) team maintains a firewall-protected intranet system for management and other personnel. MV has procured standard virus protection software and firewalls to protect its information technology infrastructure. For security purposes, the MISS team maintains a list of the users who have access to the system. Additionally, the system requires each employee to enter a username and password at log-in.
5.9. Internal Security Practices
ThisSSEPPincludesinternalsecuritypracticesandproceduresthatareadheredtobyallemployeesand contractors.Specificcomponentsdealwiththepersonnelhiringandterminationprocess,personnel identificationandaccesscontrol,andsecurityawareness.Mostrequirementsaredirectedtowardthe agency’semployeesanditscontractorstaff;however,someoftheserequirementsapplyto subcontractors,vendors,buildingtenants,visitorsandpatrons.TheSecurityProceduresformbelow identifieswhichsecurityproceduresMV hasinplace.
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Security Procedures
SecurityProcedures SecurityProcedures
Exist? SourceDocument
Backgroundinvestigation3 X
Badginganduniforms3 X
Communicationwithpassengers X
Identifyingsuspiciousbehavior X
Passengerandbaggagescreening4
Safemailpackagehandling
Sensitivesecurityinformation
Securityprocurementlanguagechecklist
Termination
Trashcontainerprocurementand
placement
Unattendeditems
Vehiclesecuritysweeps
5.10. External Security Component
The interface between MV and other local, state and federal governmental agencies exists on all levels. These interfaces and relationships ensure that communications are ongoing and that the development and implementation of various security- related activities occur, including exercises, simulations, drills and training.
3Refer to TSA guidance document titled “Additional Guidan ce on Background Checks, Redress and Immigration Status” (http://www.tsa.gov/assets/pdf/guidance_employee_background_checks.pdf)
4Ensure that procedures are ADA compliant and therefore consider and include passengers with disabilities, the elderly and their baggage.
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Section 6. Threat and Vulnerability Resolution Process
6.1. Threat, Vulnerability and Consequence Identification and Resoulution
Theinherentlyopennatureoftransitsystemscanbeexploitedbycriminals,terroristsorother adversariestocommitcrimes,actsofviolenceandothermaliciousanddestructiveacts.Thegreatest vulnerabilityandchallengefacedbymosttransitsystemswithregardtosecurityishowtomaintainan openandinvitingenvironmentthatiseasilyaccessibletoallmembersofthepublicwhileconcurrently maintainingalevelofsecuritythatpreventsorminimizes,tothegreatestextentpossible,the occurrenceofsuchactsthroughoutthesystem.Keystepstoprevent,minimizeandprepareforcriminal and/orterroristactswithinordirectedtowardtheagency’soperationsandservicesaredesignedtodo thefollowing:
Identify potential threats facing the agency.
Identify vulnerabilities within transit operations and services that may be exploited to carry out these threats.
Analyze the potential impacts of each threat and vulnerability scenario. Develop and implement corrective actions and countermeasures to eliminate, minimize or otherwise prepare for attacks.
Protect against identified threats and vulnerabilities.
6.2. Threat and Vulnerability Identification
ThreatandvulnerabilityassessmentoffersMVtheabilitytoidentifycriticalassetsandtheir vulnerabilitiestothreats,todevelopandimplementcountermeasures,andtomonitorandimprove programeffectiveness.Thisanalysisisguidedbyclearinvestigationofthreecriticalquestions: Which assets can we least afford to lose?
What is our responsibility to protect these assets?
Where do we assume total liability for risk, and where do we transfer risk to local public responders, technical specialists, insurance companies, and the Federal Government?
TheprimarymethodusedbyMVtoidentifythethreatstothetransitsystemandthevulnerabilitiesof thesystemisthecollectionofincidentreportssubmittedbydriversandsupervisorsandinformation providedbylocallawenforcementandcontractors.
Informationresourcesincludethefollowing:
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Operator incident reports.
Risk management reports.
Bus maintenance reports.
Marketing surveys.
Passengers’letters and telephone calls.
Management's written concerns.
Staff meeting notes.
Statistical reports.
Special requests.
Type of incidents.
Ȇ Crimes against persons.
Ȇ Crimes against property.
Ȇ General incidents.
Disposition of incidents (same as disposition of call for service).
Thesafetymanagerwillreviewsecurityinformationresourcesanddetermineifadditionalmethods shouldbeusedtoidentifysystemthreatsandvulnerabilitiessuchasaformalevaluationoftheprogram toensurethatsecurityproceduresaremaintainedandthatsecuritysystemsareoperable. Securitytestingandinspectionsmaybeconductedtoassessthevulnerabilityofthetransitsystem. TestingandinspectionincludesthefollowingthreeͲphaseapproach: Equipment preparedness:To ensure that security equipment is operable and in the location where it belongs.
Employee proficiency: To ensure that employees know how and when to use security equipment.
System effectiveness: To evaluate security by employing security system exercises.
6.3. Threat and Vulnerability Assessment
Thethreatswhicharemostlikelytooccurincludethefollowingdisruptiveincidents: Drunkenness.
Disorderly conduct.
Disputes.
Minor assaults.
Vandalism.
Inclement weather.
Otherpotentialoccurrencesinclude:
Fare evasion.
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Loud radios/behavior.
Smoking.
Littering.
Eating/drinking.
Usingthetablebelow,thesafetymanagercanmakeanassessmentconcerninghowsusceptibleeach systemelementofMVistoeachlistedthreat.
Thesafetymanagerusesascaleof1to4forrankingeachsystemelement’svulnerability,onebeingthe lowest(ornotvulnerable),tofourbeingthemostvulnerable. Threats
System
Elements
Eating&
Drinking
Disputes Intoxication Minor
Assaults
Vandalism Inclement
Weather
Smoking
Vehicles 1 1 1 1 1 1 1
Office
Personnel 1 1 1 1 1 1 1
Drivers 1 1 1 1 1 1 1
Whenconsideringthreatandvulnerabilityresolutionsandthepreventionofincidents,thesafety managerwillreviewcurrentmethodstodetermineifadditionalmeanscanbeidentifiedtoaddress securityrisksthroughthreepossiblealternativeapproaches: Eliminate.
Mitigate.
Accept.
Eachapproachwillbeinvestigatedbythesafetymanagertodetermineanddevelopacourseofaction acceptablebyMV’smanagement.
6.4. All Hazards Threat and Vulnerability Identification and Analysis Threatanalysisisaprocessthatenablestransitsystemsto“definethelevelordegreeofthethreats againstafacilitybyevaluatingtheintent,motivation,andpossibletacticsofthosewhomaycarrythem out.”VulnerabilityanalysisisdescribedbytheFTAasaprocessthatcanbeusedbytransitsystemsto identify“specificweaknesseswithrespecttohowtheymayinviteandpermitathreattobe accomplished.”
Throughtheseformsofanalysis,transitsystemsareabletobetteridentifyandevaluatethesecurityͲ relatedrisksthatexistnotonlywithintheirsystems,butalsowithintheoperatingenvironmentsand surroundingcommunitiesthroughwhichtheirservicesareprovided.Thiscanbeacomplexprocessthat mayrequiretheinvolvementofoutsideparties,includinglocal,stateorfederallawenforcementand emergencyresponseagencyrepresentatives,and/orsecurityexperts. Item No.7F
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Theanalysisprocessinvolvesgatheringandevaluatingrelevantinformation,includingbutnotlimitedto thefollowing:
Security practices, protocols, crime deterrents and other countermeasures currently in place within the system, including an evaluation of their effectiveness. Historical data pertaining to past security breaches and other security-related incidents directed toward the system or toward other similar systems. Crime rate data in the communities and areas surrounding the system. Site layout information, such as the ease of accessibility, location of incoming utilities, hazardous storage materials locations, types of building construction, levels of lighting, etc.
Existing criminal or terrorist threats that may be present within the system’s operating environment or that may be directed toward the surrounding communities, state or nation as a whole and may impact the system. The response capabilities of the transit system and local emergency responders, such as police and fire.
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Section 7. Evaluation and Modification of the SSEPP
7.1. Evaluation
7.1.1 Internal
The SSEPP is a “living document” and needs to address issues associated with system security and emergency preparedness on a timely and proactive basis. It is incumbent upon all appropriate MV personnel to constantly evaluate the effectiveness of the SSEPP as well as its implementation. The safety manager and/or the POC ensures that the SSEPP is evaluated for effectiveness.
7.2. Modification and Update
MV will revise the SSEPP, supporting documentation, and training to reflect new practices, policies, and procedures on annual basis. The safety manageris responsible for screening changes and modifications to facilitate ongoing revisions to keep the SSEPP current. Safety manager is responsible to see that the LSC meets and conducts security/emergency preparedness meetings on a regular or quarterly basis.
The Plan should be updated every year by July 1
st.
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Section 8. Threat Levels and Alerts
MV recognizesthethreatconditiondesignationsasdefinedbytheHomelandSecurityPresidential DirectiveͲ3,whichpertainprimarilytofederaldepartmentsandagencies.MV’sroleandapplicationof thefederalthreatmodelsareidentifiedhereinandwillbedependentuponthenatureandextentofthe securitythreatstoboththetransitoperatingsystemandthenationasawhole.MV’spreparednessand responseactionsforeachthreatconditiondesignationhavebeendevelopedinaccordancewithFTA’s recommendedprotectivemeasures.Additionally,MVkeepscurrentofthefederalthreatlevelin additiontoregularlyreceivingandmonitoringalertsdistributedbyotherorganizations,includingthe FBI.
8.1. Homeland Security Advisory System
(HSAS) for Transit
TheFTA,throughitsTransitAgencySecurityandEmergency ManagementProtectiveMeasuresguidancedocument(November 2006)providesasetofsuggestedprotectivemeasuresanda systematicapproachforitsapplicationtoenhancetransitsecurity andemergencymanagement.Theprotectivemeasuresalignwiththe colorͲcodedthreatconditionsusedintheDHSHomelandSecurity AdvisorySystem(HSAS).HSASforTransitconsistsoffivethreatlevel designations:Low(green),Guarded(blue),Elevated(yellow),High (orange)andSevere(red).
Inaddition,theFTAprovidestwo(2)additionalthreatlevelsand associatedprotectivemeasures.Theyaretheactiveincident(an actualemergency,whichmightincludeaterroristattack,accidentor naturaldisaster)andtherecoveryphasefollowinganincident.MV usestheHSASforTransitasaguideforitsownpreparationandresponsetothreatconditions.
8.1.1 Low Condition (Green)
This condition is declared when there is a low risk of terrorist attacks.
MV’s activities at green include the following:
Preparing security and emergency preparedness-related plans, including emergency operating procedures, emergency response procedures, contingency planning, communications planning, information technology/disaster recovery planning and others as needed.
Completing inventory of each department’s supplies, equipment and other resources that may be needed to execute any portion of the plans. Refining and exercising as appropriate preplanned protective measures. Ensuring that personnel receive proper training on the Homeland Security Advisory System.
HSAS
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Institutionalizing a process to ensure that all facilities and regulated sectors are regularly assessed for vulnerabilities to terrorist attacks and that all reasonable measures are taken to mitigate these vulnerabilities.
8.1.2 Guarded Condition (Blue)
This condition is declared when there is a general risk of terrorist attacks. MV’s activities at blue include the following:
Practicing all of the security and emergency preparedness plans and procedures and determining what steps should be undertaken in managing an incident. Testing equipment and systems.
Rechecking inventories of supplies, maintenance logs and new supplies ordered. Designing new drills and exercises and executing emergency, disaster recovery, and contingency operations capabilities.
Developing and disseminating as appropriate public awareness information for security and emergency preparedness.
Reviewing all security and emergency preparedness plans, and on a regular basis identifying any problems, shortcomings or issues through drills and exercise after- action reports.
Checking communications with designated emergency response or command locations.
Reviewing and updating emergency response procedures.
8.1.3 Elevated Condition (Yellow)
This condition is declared when there is an elevated risk of terrorist attacks. MV’s activities at yellow include the following:
Increasing surveillance of critical locations.
Coordinating emergency plans and procedures, and checking to see if other protective measures need to be put in place based on the threat information. Initiating contingency activities as appropriate (such as checking that equipment and alternate operating locations are available and equipment processes and procedures are operating properly).
Coordinating emergency plans as appropriate with nearby jurisdictions. Assessing whether the precise characteristics of the threat require further refinement of preplanned protective measures.
Implementing, as appropriate, contingency and emergency response plans.
8.1.4 High Condition (Orange)
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This condition is declared when there is a high risk of terrorist attacks. MV’s activities at orange include the following:
Coordinating necessary security efforts with federal, state and local law enforcement agencies.
Preparing for the activation of emergency and contingency plans. Restricting access to agency facilities and limiting access to threatened facilities to essential personnel only.
Taking additional precautions at public events and possibly considering alternative venues or even cancellation.
Preparing to execute contingency procedures, such as moving command and control to an alternate site or dispersing the work force.
8.1.5 Severe Condition (Red)
This condition is declared when there is a severe risk of terrorist attacks. Under most circumstances, the protective measures for a severe condition are not intended to be sustained for substantial periods of time. In addition, this threat condition indicates that a severe risk of terrorist activity or an incident or emergency is imminent.
However, this does not mean that
MV’s is under attack or has an active emergency
ongoing. MV’s activities at red include the following:
Increasing or redirecting personnel to address critical emergency needs. Assigning emergency response personnel and pre-positioning and mobilizing specially trained teams or resources.
Monitoring, redirecting or constraining transportation systems. Closing public transit and government facilities.
8.1.6 Active Incident
At this phase, an attack against the transit agency or an agency’s service area is occurring or has occurred.
MV’s activities at this phase include the following:
Responding to casualties.
Assisting in evacuations.
Reporting incident (see Section 5.4)
Inspecting and securing transit facilities.
Helping with other tasks directed by local emergency management personnel.
8.1.7 Recovery Phase
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At this phase, the recovery of transit service after an attack has occurred. It follows the previous phase (active incident) and may also exist for short time periods when the agency is transitioning from a higher threat condition to a lower threat condition.
This phase coexists with the prevailing threat condition. In other words, business recovery will be accomplished while maintaining the prevailing readiness status.
MV’s activities at this phase include the following:
Restoring service, routes and schedules.
Repairing or reopening facilities.
Adjusting staff work schedules and duty assignments.
Responding to customer inquiries about services.
Undertaking other activities necessary to restore transit service.
8.2. Federal Bureau of Investigation Alerts
MVregularlymonitors,examinesandevaluatesthesecurityalertsdistributedbytheFBI.Thesealerts helpidentifycurrentsecurityissuesandthreatsaffectingthenationasawhole.MVdistributesthelist toselectedindividualsoftheagency.AnyquestionsorconcernsrelatingtotheFBIsecurityalertsshould beaddresseddirectlytothelocalfieldofficeoftheFBI. Address:_8002KewGardensRdKewGardens,NY11415(718)286Ͳ7100
8.3. Public Transit- Information Sharing and Analysis Center (PT- ISAC)
MV regularlyreviewsinformationdisseminatedbythePTͲISAC.InJanuary2003,theU.S.Departmentof TransportationdesignatedtheAmericanPublicTransportationAssociation(APTA)asthesector coordinatorinthecreationofaPublicTransitISACtofurtherpromotesecurityforthepublic transportationindustry.Throughthisrole,APTAservesastheprimarycontacttoorganizeandbringthe publictransportationcommunitytogethertoworkcooperativelyonphysicalandcyberͲsecurityissues. ThePTͲISACcollects,analyzes,anddistributescriticalcyberandphysicalsecurityandthreatinformation fromgovernmentandnumerousothersources.Thesesourcesincludelawenforcement,government operationscenters,theintelligencecommunity,theU.S.military,academia,ITvendors,the InternationalComputerEmergencyResponseTeam(CERT)andothers.ThePTͲISACisfullͲservice, respondingtoincidentsandwarningsona24Ͳhourbasis,sevendaysaweek.Anyquestionsconcerning theserviceshouldbedirectedto:
PTͲISAC
1Ͳ866ͲPTͲISACͲ1(784Ͳ7221)
www.surfacetransportationisac.org
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8.4. Homeland Security Information Network – Public Transit (HSIN- PT)
MVregularlyreviewsinformationdisseminatedbyTSAthroughDHS’sHSINͲPT.HSINͲPTisasecurity informationsharingresourceforthepublictransitcommunitytoshareunclassifiedsecurityandthreat informationandestablishrelationshipsandnetworkwithbothprivateandpublictransportationsecurity officials.HSINͲPTprovidesthetransitsecuritycommunitya“oneͲstopshop”toaidinitseffortsto maintainvigilanceandreadinesstopreventterrorisminthemasstransitandpassengerrail environment.TSAalsousesitsemergencynotificationsystem,calledTSAalerts,sometimesin conjunctionwithHSINͲPT,toadvisetransitagenciesofsignificantthreatsorterroristattacks. Item No.7F
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Section 9. Appendices
9.1. Appendix A Vehicle Safety Program Implications
VehicleSafetyProgramPlan
CoveredPoliciesAndProcedures AdditionalIssuesInSSEPP ProgramSection Title
1 Management
Commitment safetypolicystatement
memorandumauthorizingsystem
securityandemergency
preparedness(SSEPP)
2 Compliance
Responsibilities
generalmanager
drivers,mechanicsandothers
operatingagencyvehicles
safetyincentiveprogram(s)
expandedtoaddressSSEPP
creationofSSEPPpointofcontact
(POC)
3
Drivers–InitialHire qualifications
initialtraining
commitmenttoaddress
SSEPPissuesinhiring
Qualifications
application
interviews
physicalrequirements
age
knowledgeofEnglish
driverlicensing
operatingskills
criminal/dmvrecordscheck
abilitytoperformsimplemath
reasonableknowledgeoftheservice
areaandabilitytoreadbasicmaps
aroadtestgivenbyadesignatedmv
supervisorisrequired
expansionofnewhirebackground
check
expansionofnewhireapplication
processtoemphasizethe
importanceofsafety,securityand
emergencyprocedures
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VehicleSafetyProgramPlan
CoveredPoliciesAndProcedures AdditionalIssuesInSSEPP ProgramSection Title
InititalTraining
agencypoliciesandprocedures
federalandstateguidelinesand
regulations
preandposttripinspections
vehiclefamiliarization
basicoperationsandmaneuvering
specialdrivingconditions
backing
badweather
boardingandalightingpassengers
defensivedrivingcourse(LLLC)
passengerassistancetraining
trainingonroad
additionaltrainingtoaddress
securityawareness,reporting
suspiciousactivity,reportsand
documentation,andpreandpost
tripinspections
4
Drivers–Ongoing
SupervisionAnd
Training
training–refresher/retraining
evaluationandsupervision
motorvehiclerecordchecks
annualphysicalexamination
safetymeetings
discipline/recognition
preventableaccidents/injuries
additionalrefershertrainingfor
knowledgeofemergency
procedures
additionalresponsiblitiesfor
supervision
5 EmergencyDriving
Procedures
emergencydrivingprocedures
accidentcauses
slipperyroadsurfaces
drivingwithpoorvisibility
drivingthroughwater
vehiclebreakdownsandunavoidable
stops
vehiclefire/evacuation
holdup/robbery
naturaldisasters
tornado
flood
expansionofemergency
procedurestoincludeadditional
securityandemergency
conditions
expansionofemergency
procedurestoincludesupportof
communityresponsetoamajor
eventoremergency
emergencytrainingandexercising
6 PassengerSafety
generalguidelines
mobilitydevicesecurementand
passengerrestraintsystems
expansionofproceduresfor
managingdifficultpassengers
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VehicleSafetyProgramPlan
CoveredPoliciesAndProcedures AdditionalIssuesInSSEPP ProgramSection Title
difficultpassengers
medicalcondition
bloodbornepathogens/infection
control
clarificationsregardingfirstaid
andbloodborne
pathogens/infectioncontrol
7 Vehicles&
Equipment
vehicles&equipment
preventivemaintenance
programdevelopment
preventivemaintenanceprogram
formatforpreventivemaintenance
programfortransitvehicles
mastervehicleserviceandrepair
record–maintenancehistory
preventivemaintenanceintervals
pre&posttripinspections
emergencyequipmentonvehiclesand
usage
useofemergencyequipmenton
vehicles
vehiclesecurity
vehiclesafetyinandaroundtheshop
oryard
expansionofvehiclesecurity
procedures
expansionofmaintenance
proceduresforidentifyingand
reportingvandalism,suspicious
substances,orvehicletampering
8 Accident
Management
accidentdocumentationpacket
accidentnotificationprocedures–
driverresponsibility
accidentinvestigation–management
responsibility
accidentinvestigationkit
reconstruction&analysis
drugandalcoholtests
additionaltoolsforaccident
documentpackettoaddress
security
9
InsuranceClaims
andLitigation
Management
VTLP
10
DayͲToͲDay
Operations–
MonitoringFor
Safety
recordkeeping additionalreportsforsecurityͲ
relatedincidents
Item No.7F
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9.2. AppendixB: Security Baseline Planning Worksheet
SECURITYBASELINE
PLANNINGWORKSHEET
Yes No Notes
Hasmanagementacceptedresponsibilityforthe
managementofsecurityvulnerabilitiesduringthestartͲup andoperationofthetransitsystem?
X
Hasmanagementendorsedapolicytoensurethatsecurity vulnerabilitiesareidentified,communicated,andresolved(or accepted)throughaprocessthatpromotesaccountabilityfor decisionͲmaking?
Doesyourdivisionhaveclearandunambiguouslinesof authorityandresponsibilityforensuringthatsecurityis addressedatallorganizationallevelswithintheoperation (includingcontractors)?
Doesyourdivisionhaveaccesstopersonnelwithsecurity managementexperience,knowledge,skills,andabilities? X
Doesyourdivisionensurethatresourcesareeffectively allocatedtoaddresssecurityconsiderations?
Istheprotectionofpassengers,employees,contractors, emergencyresponders,andthegeneralpublicapriority wheneveractivitiesareplannedandperformedatthe
division?
Doesyourdivisionroutinelyevaluateitscapabilitiesto provideadequateassurancethatthepublicandemployees areprotectedfromadverseconsequences?
Hasyourdivisioncommittedtodevelopingsecurity
mitigationmeasurestopreventandmanagesecurity
vulnerabilities?
Hasyourdivisionappropriatelydocumenteditssecurity measuresinplans,procedures,training,andinproject requirements,specificationsandcontracts?
Doesyourdivisionhaveaformalsystemsecurityprogram, documentedinasystemsecurityprogramplan.
Item No.7F
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SECURITYBASELINE
PLANNINGWORKSHEET
Yes No Notes
If“yes,”isthesecurityplancurrent,reflectingcurrent securityoperationsandsystemconfiguration?
If“no,”doesyourdivisionhaveplansinplacetodevelopa securityplan?
If“no,”prepareabrieflistofallactivitiesperformedatyour divisionthataddresssecurityconcerns(forexample,include facilityaccesscontrol;proceduresforhandlingdifficult people;workplaceviolenceprogram;bombthreat
managementplan;proceduresforidentifyingandreporting suspiciousactivity;facilityandvehicleevacuationandsearch procedures;coordinationwithlocallawenforcement,etc.)
Wheneverpossible,doesyourdivisionguidedesign,
engineering,andprocurementactivitywithanagreedͲupon setofsecuritystandardsandrequirements(includingdesign criteriamanuals,vehiclespecifications,andcontracting guidelines)?
GENERALEMERGENCYRESPONSECAPABILITIES Yes No Notes Doesyourdivisionhaveanemergencyplan?
Doesyourdivisionhaveemergencyoperatingprocedures? Doesyourdivisionhaveanincidentresponseplanfor terrorism,asanappendixtotheemergencyplanorasa separateplan?
Doesyourdivisioncoordinatewithlocalpublicsafety
organizationsonthedevelopment,implementationand
reviewoftheemergencyplanandprocedures?
Doesyouremergencyplanspecifyuseoftheincident
commandsystem?
Haveyouremployeesbeentrainedintheemergencyplan andprocedures?
Doesyourdivisionconductroutinedrills,tableͲtopsand refreshertraining?
Item No.7F
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Doesyourdivisioncoordinateitsdrillingandtrainingfor emergencyresponsewithlocalpublicsafetyorganizations?
DoesyourdivisionconductbriefingsofafterͲactionreportsto assessperformanceduringthedrillorexerciseandidentify areasinneedofimprovement?
Havemembersofyourdivisionparticipatedindomestic
preparednesstrainingprograms?
PREVIOUSEXPERIENCE Yes No Notes
Hasyourdivisionexperiencedanemergencyinthelast12 months?
If”yes,”wereyousatisfiedwiththedivision’slevelof response?
Hasyourdivisionreceivedabombthreatinthelast12 months?
Hasyourdivisionevacuatedinitsfacilitiesinthelast12 monthsastheresultofabombthreats?
Hasyourdivisionconductedaphysicalsearchofafacilityin responsetoabombthreat?
Points of Emphasis
AwarenessͲTrainallsecurityandmaintenancepersonneltospotsuspiciousͲlookingorunfamiliar peopleorobjects.
CommunicationͲTeachemployeesand/ortenantstheimportanceofawareness;encouragethemto identifyandreportanythingthatappearsoutͲofͲtheͲordinary. ScreeningͲDevelopandimplementsystemsforidentifyingandcontrollingvisitoraccesstothebuilding. InspectionͲEstablishstrictproceduresforthecontrolandinspectionofpackagesandmaterials deliveredtothebuilding,particularlythoseintendedforcriticalareas. Item No.7F
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ProceduresͲInstructallpersonnel,particularlytelephoneswitchboardorreceptionpersonnel,onwhat todoifabombthreatisreceived.
SurveillanceͲInstructsecurityandmaintenancepersonneltoroutinelycheckunattendedpublicoropen areas,suchasrestrooms,stairways,parkinggaragesandelevators. LightingͲMakesurethatallofthefacility'saccesspointsarewellͲlit. SystemsAwarenessͲUnexpectedinterruptionsinthebuilding'sfireorsecuritysystemsmaynotbe coincidental;trainpersonneltoidentifyandaddressthemimmediately. LocalAuthoritiesͲContactlocalgovernmentagenciestodeterminetheirproceduresfordealingwith bombthreats,search,removalanddisposal.
ContingencyͲAssureadequateprotectionandoffͲsitebackupforclassifieddocuments,proprietary information,criticalrecordsandactivitiesessentialtotheoperationofbusiness. Item No.7F
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9.3. Appendix C:Emergency Response Planning, Coordination, and Training Considerations
Emergency response planning, coordination, and training is formalized and documented, and identifies responsibilities of employees by function. Service continuation, restoration, and recovery plan developed. Emergency drills and table-top exercises scheduled on a regular basis. Coordination and training with outside agencies, including fire and rescue units,hospitals, police, hazardous materials and environmental agencies, and regional Office of Emergency Management.
Media relations, information control procedures, and policies established (internal and external to agency).
Documentation of drills maintained, drill critiques held, and recommendations recorded with follow-up.
Emergency procedures reviewed by management on a regular basis and updated as needed.
Procedure revisions and updates incorporated into evacuation procedures and SOPs developed for signature(s) and distribution.
Regular assessments of employee proficiency conducted. Emergency contacts list developed, currentand responsibility for call-outs identified.
Emergency evacuation routing for transit vehicles developed. Employees issued quick reference guidelines for emergency situations. Support systems developed to provide post-incident support to customers and employees.
Regular functional testing and inspection of emergency support equipment and systems.
Pre-determination of factors that would require partial or full service shut-down. Contingencyplans for loss of electrical power and radio or phone communications.
Item No.7F
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System Security Considerations
Security plan established, which addresses all operations modes and contracted services.
System security responsibilities and duties established. Personal safety awareness and education programs for passengers and employees and community outreach.
Security equipment regularly inspected, maintained and functionally tested. Contingency SOPs developed, drills, and table-top exercises conducted for extraordinary circumstances:
Ȇ Terrorism (including chemical, biological agents, and weapons of mass destruction);riot and domestic unrest; catastrophic natural events; and system- wide communications failure.
Security SOPs reviewed on a regular basis and updates made as needed to security plan.
Data collection established for all security issues and incidents, analysis performed and recommendations made, document control established including follow-up. Security risk and vulnerability assessments conducted, documented and reviewed. Contingency plans for loss of electrical power and radio or phone communications.
Standard operating procedures for critical incident command, control, and service continuation and restoration.
Security training provided to all staff levels (from front-line "eyes and ears" concept to professional level security training).
Background checks on employees and contractors (where applicable). Regular assessments of employee security proficiencies conducted. Employees issued quick reference guidelines for security situations. Emergency contacts list developed and kept current, and responsibilities for call- outs identified.
Visitor, deliveries and contractor facility access procedures developed and visible identification required.
Concepts of crime prevention through environmental design (CPTED) applied in reviews of facilities and in new design and modifications. Security checklists developed and regularly used for verifying status of physical infrastructure and security procedures.
Agency employees identifiable by visible identification and/or uniform. Policy and procedures in place for facilities key control. Planning, coordination, training and mutualaid agreements with external agencies (state, local police,FBI and other federal agencies.
Item No.7F
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9.4. Appendix D: Bomb Threat Checklist and Procedures
Bomb Threat Checklist
Exacttimeanddateofcall:
Exactwordsofcaller:
Voice Accent Manner BackgroundNoise
Loud Local Calm FactoryMachines
HighPitched Foreign Rational Bedlam
Raspy Race Coherent Music
Intoxicated NotLocal Deliberate OfficeMachines Soft Region Righteous Mixed
Deep Local Angry StreetTraffic
Pleasant Foreign Irrational Trains
Other Race Incoherent Animals
Raspy NotLocal Emotional Quiet
HighPitched Region Laughing Voices
Loud Airplanes
PartyAtmosphere
Language Speech FamiliaritywithThreatenedFacility Excellent Fast Much
Fair Distinct Some
Foul Stutter None
Good Slurred
Poor Slow
Other
Distorted
Pleasant Nasal
Other Lisp
Raspy Other
Questions to Ask the Caller
Whenisthebombgoingtoexplode?
Whereisthebomb?
Item No.7F
Whatdoesitlooklike?
Whatkindofbombisit?
Whatwillcauseittoexplode?
Didyouplacethebomb?
Whydidyouplacethebomb?
Whereareyoucallingfrom?
Whatisyouraddress?
Whatisyourname?
Observations
Ifthevoiceisfamiliar,whomdiditsoundlike?
Werethereanybackgroundnoises?
Telephonenumbercallreceivedat.
Personreceivingcall.
Anyadditionalremarks.
Bomb Threat Procedures
In recent years the use and threatened use of explosives in society has increased at an alarming rate. Organizations must prepare a plan of action to respond effectively.
This brief provides guidelines that will assist transit agencies in developing a procedure specific to their particular environment.
Steps to Be Considered
When faced with a bomb threat, the primary concern must always be the safety of passengers, employees, and emergency responders. Many transit agencies already Item No.7F
have a disaster or emergency procedure for responding to smoke, fire, or medical emergencies in stations, administrative facilities, shops, and yards. Several aspects of these procedures remain viable in a bomb threat procedure.
However, new problems must be addressed when a bomb threat is received. For example, in the instance of a fire, effort is directed at evacuating the occupants in a quick and orderly manner. In the case of a bomb threat, if evacuation is initiated, the exit routes and assembly areas should be searched prior to vacating the premises.
The potential hazard remains when a building is evacuated before a search has been made. Personnel cannot safely re-occupy the building and resume normal activities until a search has been conducted. Such problems require a procedure with 7 logical steps:
Step 1: Threat Reception
Step 2: Threat Evaluation
Step 3: Search Procedure
Step 4: Locating Unidentified Suspicious Objects
Step 5: Evacuation Procedure
Step 6: Re-occupation of Building
Step 7: Training of Essential Personnel
Each of these steps is discussed below:
Step 1: Threat Reception
Threats are transmitted in several ways:
Telephone Threats (threat to detonate explosive is phoned into system) Caller is the person who placed the device.
Caller has knowledge of who placed the device.
Caller wants to disrupt system operation.
Written Threats (threat to detonate explosive is written into system). May be more serious than phoned-in threats.
Written threats are generally more difficult to trace than phoned-in threats.
Letter and Package Threats (suspicious package or letter is delivered to agency). These threats serve a variety of purposes, but, generally, they are directed at specific system personnel rather than at the system as a whole. The personal motivations of the criminal may be more important in these types of threats.
Item No.7F
Bombthreatsarenormallytransmittedbyphone.Thepersonreceivingthecallshouldbepreparedto obtainpreciseinformation,including:
The time the call was received and on which telephone number or extension. The exact words of the person making the threat should be recorded. Indicate whether it was a male or female voice and an approximate age. Note any accent or speech impediment or slurring of speech which could indicate intoxication or an unbalanced condition.
Listen for the presence of any background noises such as traffic, music, or other voices.
Decide if the voice is familiar.
The person receiving the threatening call should be prepared to ask the caller certain questions if the information has not been volunteered. Where is the bomb?
When is it going to explode?
What does it look like?
What kind of bomb is it?
Why did you place the bomb?
What is your name?
Thecallermayprovidespecificinformationbyansweringthesequestions.Oftenthetypeofperson makingathreatofthisnaturebecomessoinvolvedthattheywillanswerquestionsimpulsively.Any additionalinformationobtainedwillbehelpfultopoliceandexplosivetechnicians.Toassisttheperson receivingthecall,itissuggestedaprintedformbereadilyavailable.AsampleisprovidedinAppendixD. Typically,thischecklistiskeptreadilyavailabletothetransitdispatcheroradministrativepersonnel mostlikelytoreceivesuchathreat.
Writtenandletter/packagethreatsshouldbetreatedas“suspiciousobjects”(seeStep4). Step 2: Threat Evaluation
Twobasicdescriptionsofthreatscanbeidentified:
Non-specific threat: This is the most common type of threat, usually with little information given other than, "There is a bomb in your building." Specific threat: This threat is given in more detail. Reference is often made to the exact location of the device, or the time it will detonate.
Specific threats should be considered more serious in nature, requiring a more concerted effort in the response. The non-specific threat, however, cannot be ignored. A policy must be developed to respond effectively to both threat levels.
Certain actions should be taken regardless of the threat category:
Item No.7F
Notify law enforcement (whether internal transit police and/or security or local law enforcement).
Notify management personnel.
Initiate the search procedure.
Search before evacuation of personnel (employee search). Search after evacuation of personnel (volunteer search).
Notificationtointernaland/orexternallawenforcement,securityandmanagementpersonnelshould beprompt,andincludeasmuchdetailaspossible.Thepersonwhoreceivedthethreateningcallshould beavailableimmediatelyforinterviewing.Copiesofthecompletedthreatchecklistshouldbereadily availabletoallwhomayneedit.
Theappropriatesearchprocedureshouldbeinitiated.Searchesinthetransitenvironment–asinmany otherenvironments–havetwomajorconstraints:
Radio communication cannot be used (it may detonate the device). The environment is specialized, therefore, it cannot be searched effectively by outsiders.
Toaddresstheseconcerns,personnelwhoworkinaparticulararea,orwhoareresponsibleforanarea, shouldbeused.Notonlywillthesepersonnelprovideamuchmorethoroughsearchthanoutside responders,buttheyareknowledgeableconcerningstationorfacilityemergencycommunication systems,andcanaccess“landline”telephonestomanagecommunicationsmoreeffectivelyduringthe search.Asystemthatutilizestheemployees–afterevacuationshavebeenorderedͲͲshouldalways andonlyusevolunteers.
Thefollowingcriteriahelpdeterminewhatimmediateactiontotake: Factors favoring a search before the movement of personnel (occupant search):
Ȇ There is a high incidence of hoax telephone threats.
Ȇ Effective security arrangements have been established.
Ȇ Information in the warning is imprecise or incorrect.
Ȇ The caller sounded intoxicated, amused, or very young.
Ȇ The prevailing threat of terrorist activity is low.
Factors favoring movement of personnel before searching (volunteer search):
Ȇ The area is comparatively open.
Ȇ Information in the warning is precise as to the matters of location, a description of the device, the timing, and the motive for the attack.
Ȇ A prevailing threat of terrorist activity is high.
Step 3: Search Procedure
PreͲplanningandcoordinationofemployeesareessentialinimplementinganeffectivesearchoftransit premises,particularlyforlargestationsandfacilities.Acentralcontrolmechanismisnecessaryto Item No.7F
ensureathoroughandcompleteresponse.Aprintedstationand/orfacilityschematicshouldbe identifiedforeachmajortransitfacility.Whereverpossible,stationsshouldbedividedintozonesor sections(priortotheactualconductofthesearch),andvolunteerpersonnel–familiarwiththezoneor section–identifiedtosupportthesearch,byshiftorposition.BackͲupsandsupportingvolunteers shouldalsobeidentifiedforeachzoneorsegment.Acompendiumofstation/facilityschematicsshould beavailabletothoseresponsibleformanagingbombthreatsandsearches.Notonlywillthese schematicssupportidentificationandassemblyofthevolunteersearchteam,butalso,asthesearchis conducted,eachareacanbe“crossedoff”theplanasitissearched. Areasthatareaccessibletothepublicrequirespecialattentionduringasearch,andmaybevitally importantifanevacuationistobeconducted.Thelevelofthesearchshouldbecommiseratingwiththe perceivedthreatlevel:
An occupant search is used when the threat's credibility is low. Occupants search their own areas. The search is completed quickly because occupants know their area and are most likely to notice anything unusual.
The volunteer team search is used when the threat's credibility is high. The search is very thorough and places the minimum number of personnel at risk. Evacuate the area completely, and ensure that it remains evacuated until the search is complete. Search teams will make a slow, thorough, systematic search of the area.
Duringthesearchprocedurethequestionoftenarises,"WhatamIlookingfor?"Thebasicruleis:Look forsomethingthatdoesnotbelong,orisoutoftheordinary,oroutofplace.Conductthesearch quickly,yetthoroughly,keepingthesearchtimetoamaximumof15to20minutes.Boththeinterior andexteriorofthestationorfacilityshouldbesearched. Historically,thefollowingareashavebeenusedtoconcealexplosiveorhoaxdevicesinthetransit environment:
OutsideStationAreas InsideStations
Trashcans
Dumpsters
Mailboxes
Bushes
Streetdrainagesystems
Storageareas
Parkedcars
Shrubbery
Ceilingswithremovablepanels
Overheadnooks
Areasbehindartwork,sculpturesandbenches
Recentlyrepaired/patchedsegmentsofwalls,floors,or ceilings
Elevatorshafts
Restrooms
Behindaccessdoors
Item No.7F
NewspaperStands Incrawlspaces
Behindelectricalfixtures
Instorageareasandutilityrooms
Trashreceptacles
Mailrooms
Firehoseracks
Dependingonthenatureofthethreat,searchesmayexpandtoincludetransitvehicles.Inextremely rareinstances,dispatchershaveinstructedoperatorsoncertainbusroutesorraillinestoimmediately bringtheirvehiclestoasafelocation,deboardpassengers,andwalkͲthroughthevehicle–lookingfor unidentifiedpackages.Inotherinstances,evacuatedvehicleshavebeenmetbylawenforcement officers,whoactuallyconductthesearch,includingthevehicleundercarriageandrooftopareas. Step 4: Locating an Unidentified Suspicious Package
Ifanunidentifiedorsuspiciousobjectisfound,allpersonnelshouldbeinstructed(1)nottomoveitand (2)toreportittocentraldispatchorthesearchteamleaderimmediately.Thefollowinginformationis essential:
Location of the object.
Reason(s) suspected.
Description of the object.
Any other useful information – how difficult to secure area, evacuate, nearest emergency exits, etc.
Basedonthisinformation,decisionswillbemaderegardingthefollowing: Removal of persons at risk.
Establishment of perimeter control of the area to ensure that no one approaches or attempts to move the object.
Activities to establish ownership of the object. (In the event that legitimate property has been left behind in error prior to the bomb threat being received). Assignment of someone familiar with the building and the area where the object is located to meet the explosives disposal unit personnel on their arrival (in the event that they have been called).
Continue implementation of search procedure until all areas have reported to the central control, as there may be more than one unidentified object.
Item No.7F
Whilevolunteersandpublicsafetypersonnelareconductingthesearch,andparticularlywhiletheyare managingresponsetoasuspiciouspackage,theyshouldkeepinmindthefollowinginformation: Improvised explosive devices (IEDs) and other types of bombs inflict casualties in a variety of ways, including the following:
Ȇ Blast over pressure (a crushing action on vital components of the body, eardrums are the most vulnerable).
Ȇ Falling structural material.
Ȇ Flying debris (especially glass).
Ȇ Asphyxiation (lack of oxygen).
Ȇ Sudden body translation against rigid barriers or objects (being picked up and thrown by a pressure wave).
Ȇ Bomb fragments.
Ȇ Burns from incendiary devices or fires resulting from blast damage.
Ȇ Inhalation of toxic fumes resulting from fires.
ThefollowingarefourgeneralrulestofollowtoavoidinjuryfromanIED:
1. Moveasfarfromasuspiciousobjectaspossiblewithoutbeinginfurtherdangerfrom otherhazardssuchastrafficorsecondarysourcesofexplosion.
2. Stayoutoftheobject's lineͲofͲsight,therebyreducingthe hazardofinjurybecauseof directfragmentation.
3. Keepawayfromglasswindowsorothermaterialsthatcouldbecomeflyingdebris.
4. Remain alert for additional or secondary explosive devices in the immediate area, especially iftheexistence ofabombͲthreatevacuationassembly areahasbeenhighly publicized.
Historically, perpetrators of bombings in the transit environment (in foreign countries such as Israel, France, India, and England) have used two tactics that intensify the magnitude of casualties inflicted by detonation of an explosive device:
Ȇ Perpetrators have detonated a small device to bring public safety personnel to the site; a larger, more deadly device has detonated some time after the first device, thereby inflicting a large number of casualties on the first responder community.
Ȇ Perpetrators have used a real or simulated device to force the evacuation of a facility only to detonate a much more substantial device in identified bomb-threat evacuation assembly areas. These attacks are especially harmful because the evacuation assembly areas often concentrate transit personnel and passengers more densely than would otherwise be the case.
Item No.7F
Step 5: Evacuation Procedure
Ifanunidentifiedobjectisfound,aquietandsystematicevacuationfromtheareashouldbeconducted. Priortoevacuation,allareasusedintheevacuationroutemustbesearched:stairwells,corridors, elevators,anddoorways.Whentheseareashavebeenchecked,volunteerpersonnelshouldbe assignedtodirectotherpersonnelalongthesearchedexitroutes. Asageneralguideline,evacuationshouldbetoaminimumdistanceof300feetinalldirectionsfromthe suspiciouspackage,includingtheareaaboveandbelowthesite,givingregardtothetypeofbuilding construction(thinwalls,glass)andthesizeofthesuspiciouspackage.Elevatorsshouldnotbeusedto evacuatepeopleundernormalcircumstances.Apowerfailurecouldleavethemtrappedinahazardous area.Attentionshouldbepaidtotheneedforspecialtransportationrequirementsofpersonswith disabilities.
Theessentialtaskinevacuationproceduresistodirectpeopletoquietlyleavethepremises,usingtact andpowerofsuggestion,inanefforttomaintaincontrolandavoidpanic.Onceacompleteorpartial evacuationhastakenplace,theremustbesomeformofaccountingforallpersonnel.Thismaybea difficulttask,butanecessaryonetoensurethesafetyofallpersonnel. AssemblyareasshouldbepreͲselectedandwellknowntopersonnel.Establishaclearlydefined procedureforcontrolling,marshalling,andcheckingpersonnelwithintheassemblyarea.Ifpossible,for majortransitstations,assemblyareasshouldbecoordinatedwithlocalpoliceinadvance.Assembly areasareselectedusingthefollowingcriteria:
Locate assembly areas at least 300 feet from the likely target or building (if possible).
Locate assembly areas in areas where there is little chance of an IED being hidden.
Open spaces are best. Avoid parking areas because IEDs can be easily hidden in vehicles.
Select alternate assembly areas to reduce the likelihood of ambush with a second device or small-arms fire. If possible, search the assembly area before personnel occupy the space.
Avoid locating assembly areas near expanses of plate glass or windows. Blast effects can cause windows to be sucked outward rather than blown inward. Select multiple assembly areas, if possible, to reduce the concentration of key personnel. Drill and exercise personnel to go to different assembly areas to avoid developing an evacuation and emergency pattern that can be used by perpetrators to attack identifiable key personnel.
Step 6: Re-Occupation of Station/Facility
ReͲoccupationofthebuildingisadecisionthatmustbemadebyanappropriatetransitagencyorlaw enforcementofficial.Iftheevacuationwasmadewithoutasearch,thepremisesshouldbesearched beforereͲoccupation.
Step 7: Training
Anyeffectivethreatproceduremustbeaccompaniedwithanadequatetrainingprogram.Trainingthe essentialpersonnelshouldencompassboththepreventativeandoperationalaspectsoftheprocedure. Preventioncanbeaccomplishedthroughemployeeawareness,developinggoodhousekeepinghabits, andbeingonthealertforsuspiciousitemsandpersons. Item No.7F
Operationaltrainingmayincludelecturesbytransitpoliceandsecurityinstructionalstafforguest speakers,inͲservicetrainingclasses,andpracticaltrainingexercises.Evacuationandsearchdrillsshould beperformedperiodicallyunderthesupervisionoftransitpoliceorlocallawenforcement.Coordination withlocallawenforcementisparticularlyimportantforthosesmallagencieswithnointernalsecurity. Conclusion
Consideringrecentevents,itisadvisabletoconsiderallthreatsserious.AwellͲpreparedandrehearsed planwillensureaneffective,quicksearchwithminimaldisruptionofnormaloperation.Panicand possibletragedycanbeavoided.Appropriatesecurity,heightenedemployeeandpassengerawareness, andgoodhousekeepingcontrolswillidentifymanypotentialproblems.
9.5. Appendix E: Types of Preparation Exercises
Experienceshowsthatexercisesarethemostpractical,efficient,andcosteffectivewaytopreparefor disastersandcrises.Theaimforanytransitagencyshouldbetodevelopaprogressiveexerciseprogram, alongͲtermapproachinwhichexercisesareplanned,conducted,andevaluatedasbuildingblocksto competencyincrisismanagement.
Therearetwoprincipalbenefitsofsuchaprogram.First,peoplepracticetheirroleandgainproficiency incrisismanagement.Second,thecoordinationamongtransitprovidersandlocalemergencyresponse agenciesisimproved.Thesebenefitsarisenotfromexercisingalone,butfromevaluatingtheexercise andactinguponthoseresults.Anexercisehasvalueonlywhenitleadstoindividualand/orcollective improvement.
Keytermsusedinthedevelopmentofexercisesincludethefollowing: Progressive Exercise Program: A commitment from the transit provider and community public safety agencies to plan and conduct increasingly more challenging exercises over a period of time, to achieve and maintain competency in executing the local crisis management plan.
Objective: A goal expressed in simple, clear, specific, and measurable terms. Serves as the foundation of all exercise planning.
Scenario: The overall outline of how an exercise will be conducted. Includes the narrative, majordetailed sequence of events, problems or messages, and expected actions. Often used interchangeably with the term narrative. Narrative: A word “picture” that includes all essential elements of information concerning the incident used to initiate an exercise.
Typesofexercisesincludethefollowing:
Drill: Supervised activities that test, develop, or maintain skills in a single response procedure (such as: communications, notification, lockdown, fire) and the possible or probable interaction with local government agency functions (such as: incident command posts, rescue squad entry, police perimeter control) which will involve Item No.7F
actual field response. Helps prepare for more complex exercises in which several functions are coordinated and tested.
Exercise: An activity designed to promote emergency preparedness, test or evaluate emergency operations, policies, plans, procedures or facilities, train personnel in emergency duties, and demonstrate operational capabilities. Full-Scale Exercise: Evaluates the operational capability of emergency response management systems in an interactive manner. Includes the mobilization of emergency personnel and resources required to demonstrate coordination and response capability. Tests total response capability as close to a real emergency as possible.
Functional Exercise: A fully simulated interactive exercise which tests one or more functions in a time-pressured realistic simulation and focuses on policies, procedures, roles, and responsibilities.
Orientation Seminar: An informal discussion designed to familiarize participants with roles, plans, procedures, and resolve questions of coordination and assignment of responsibilities.
Tabletop Exercise: Simulates an emergency situation in an informal, stress-free environment. Designed to elicit discussion as participants examine and resolve problems based on existing crisis management plans.
9.6. Appendix F: Reporting Criminal Activity
Ifyouobserveacrimeinprogressorbehaviorthatyoususpectiscriminal,immediatelynotify[dispatch orlocalpolice].Reportasmuchinformationaspossibleincluding: Activity:Whatishappening?(Inplainlanguageandwithasfewassumptionsaspossible) Descriptionofinvolvedpeople:Foreachinvolvedperson,provide: Height.
Weight.
Gender.
Clothing.
Weapons.
Distinguishing characteristics.
Location:Describeexactlywherethecriminalactivityisoccurring.Iftheactivityis“moving,”describe thedirectionoftravel.
Vehicle:Ifavehicleisinvolved,pleaseprovidethefollowing: Item No.7F
Color.
Year.
Make.
Model.
License.
DONOTAPPROACHORATTEMPTTOAPPREHENDTHEPERSON(S)INVOLVED. Stayonthetelephonewiththepolicedispatcherandprovideadditionalinformationaschangesinthe situationoccur,untilthefirstpoliceofficerarrivesatyourlocation.
9.7. Appendix G: Emergency Action Plan
MV facility sites will utilize the emergency action plan template from the MV Safety Policy Manual to develop a site specific emergency action plan.
COMPANY: MVTransportationInc.
ADDRESS: 1993RanchoConejoBlvdThousandOaks,CA
Emergency Plan Coordinator
Name:
Title: Safety Manager
Department: Transportation
Telephone No: 805-231-8761
Preferred Means of Reporting Fires And Other Emergencies Type of Emergency:
Reported By:
Fire: 911
Explosion: 911
Tornado/Weather: 911
Bomb Threat: 911
Chemical Spill/Leak: 911
Violence: 911
Medical: 911
Gas: 911
Item No.7F
Electric:
9.7.1 Elements
i. Emergency Escape Procedures and Routes
Emergency escape procedures and route assignments have been posted in each work area, and all employees have been trained by designated supervisors in the correct procedures to follow. New employees are trained when assigned to a work area. A sample escape procedure and escape route sheet of the type posted in work areas should be developed. (Identify and attach floor plan and escape route).
Procedure for Employees Who Remain to Operate Critical Operations Before They Evacuate
A single procedure should be developed that describes operations, procedures, and personnel required in order for critical operations to be performed before the assigned personnel evacuate during emergency situations. A description of the special training provided should also be included.
ii. Employee Accountability Procedures after Evacuations Each supervisor is responsible for accounting for all assigned employees, personally or through a designee, by having all such employees report to a predetermined designated rally point and conducting a head count. Each assigned employee must be accounted for by name. All supervisors are required to report their head count (by name) to the emergency evacuation coordinator.
iii. Rescue and Medical Duties
Specific rescue and medical duties have been assigned to designated individuals. These personnel have received special training and instructions for properly carrying out these assignments.
iv. Alarm System
Alarm systems for notifying all employees in case of an emergency are:
When so required by specific OSHA Standards, the organization will comply with OSHA Standard 1910.165, Employee Alarm Systems.
Item No.7F
v. Training
The following personnel have been trained to assist in the safe and orderly emergency evacuation of other employees. (See also Appendix B-identify) Name Title WorkArea Special
Assignment
ToddPainter SafetyManager MSC
GeorgeSaldana RoadSupervisor MSC
JenniferSinger GM MSC
Training is provided for employees when:
Ȇ The plan was initiated.
Ȇ Responsibilities change.
Ȇ New employees are hired or transferred.
9.7.2 Emergency Shutdown Procedures
During some emergency situations, it will be necessary for some specifically assigned and properly trained employees to remain in work areas that are being evacuated long enough to perform critical operations. These assignments are necessary to ensure proper emergency control.
Assignments
Work Area Name Job Title Description of Assignment
Maintenance
Area Kevin Hayes Supervisor Maintenance Facility Manager
Special Training
The preceding individuals have received special instructions and training by their immediate supervisors to ensure their safety in carrying out the designated assignments. A training record describing the instructions provided and the detailed procedures to be followed is maintained in the Emergency Action Plan and Fire Protection Plan coordinator’s office.
Emergency and Fire Protection Plan Coordinator:
Name Date
Item No.7F
Employee Accountability Procedures Following An
Emergency Evacuation
Each supervisor is responsible for accounting for each assigned employee following an emergency evacuation. This will be accomplished by performing the procedures established for such an eventuality.
Employee Accountability
Rally points have been established for all evacuation routes and procedures. These points are designated on each posted work area escape route. All work area supervisors and employees must report to their designated rally points immediately following an evacuation.
Each employee is responsible for reporting to his or her supervisor so that an accurate head count can be made. Supervisors will check off the names of all those reporting and will report those not checked off as missing to the emergency evacuation coordinator.
The emergency evacuation coordinator will be located at one of the following locations:
Ȇ Primary location.
Ȇ Secondary location.
The emergency evacuation coordinator will determine the method to be utilized to locate missing personnel.
Rescue and Medical Duties
Itmaybecomenecessaryinanemergencytorescuepersonnelandperformsomespecifiedmedical duties,includingfirstͲaidtreatment.Allemployeesassignedtoperformsuchdutieswillhavebeen properlytrainedandequippedtocarryouttheirassignedresponsibilitiesproperlyandsafely.
Item No.7F
Assignments
Name Location Special
Assignment
SpecialTraining
Provided
ToddPainter MSC FirstAid BasicFirstAid
GeorgeSaldana
Special Instructions and Procedures
All personnel performing emergency rescue and medical duties must follow these instructions:
9.8. Appendix H –ChemicalHazard Communication Program Plan MVsiteswillutilizetheHazardousCommunicationPlancontainedwithintheMVSafetyPolicyManual. Anoverviewoftheplanisasfollows:
Company Policy – 29 CFR 1910.1200(e)
MViscommittedtothepreventionofexposuresthatresultininjuryand/orillness;andtocomplywith 29CFR1910.1200,OSHA’sHazardCommunicationStandardandallapplicablestatehealthandsafety rules.
AllemployeesofMVareincludedunderthehazardcommunicationprogram.Thiswrittenprogramwill beavailableforreviewbyanyemployeeduringworkhours.ItislocatedintheMVSafetyPolicyand ProceduresManual.
Container Labeling – 29 CFR 1910.1200(f)
Thesafetymanagerandmaintenancemanagerarejointlyresponsibleforensuringthatallcontainer labelingprocedurearereviewedandupdatedasneeded. Descriptionoflabelingsystemused:
Original containers received for use will be labeled to indicate at a minimum:
Ȇ Warning labels that are legible and in English.
Item No.7F
Ȇ The name of the chemical.
Ȇ Items found on the SDS
Ȇ Pertinent physical and health hazards, including the organs that would be affected.
Ȇ The name, address, and phone number of the manufacturer, importer or responsible party.
Secondarycontainerswillbelabeledwithataminimum: The name of the chemical as it appears on the SDS.
Appropriate hazard warnings.
Material Safety Data Sheets (SDS) – 29 CFR 1910.1200(g) Thesafetymanagerandmaintenancemanager(s)ateachgarageareresponsibleforobtainingand maintainingtheSDSs.
ThemaintenancemanagerwillreviewincomingSDStomakesurethattheycontainallrequired information,andforchangesinhealthandsafetyinformation.Themaintenancemanagerwillmakesure thatanynewinformationispassedontoaffectedemployees. WhentoxicorhazardoussubstancesarereceivedwithouttheSDS,themaintenancemanagerwilleither callorsendalettertothesupplierrequestingtheSDS.AwrittenrecordofallSDSrequests,whetherby phoneorformalletter,willbeplacedinaspecialfile. EmployeesarenotpermittedtouseanychemicalsforwhichthecompanydoesnothavetheSDS. SDSwillbeaccessibletoallemployeesduringeachworkshift.CopiesoftheSDSwillbekeptinthe maintenanceshopateachgarage.
Employee Information and Training – 29 CFR 1910.1200(e) (1) (i) Thesafetymanagerandmaintenancemanagerareresponsiblefortheemployeetrainingprogram.They willensurethatallelementsspecifiedbelowarecarriedout. Themaintenancemanagersareresponsibleforassuringthatbeforestartingwork,eachaffected employeeofMVwillattendahealthandsafetyorientationthatincludesinformationandtrainingon thefollowing:
An overview of the requirements contained in the OSHA Hazard Communication Standard.
Hazardous chemicals present at his or her workplace.
Physical and health risks of the hazardous chemical.
The symptoms of overexposure.
How to determine the presence or release of hazardous chemicals in the workplace.
How to reduce or prevent exposure to hazardous chemicals through use of control procedures, work practices and (PPE) personal protective equipment. Steps MV has taken to reduce or prevent exposure to hazardous chemicals. Procedures to follow if employees are overexposed to hazardous chemicals.
Item No.7F
How to read labels and review SDS to obtain hazard information. Location of the SDS file and written hazard communication program.
Hazardous Non-Routine Tasks– 29 CFR 1910.1200(e) (1) (ii) Periodically,employeesmayberequiredtoperformnonͲroutinetasksthatinvolvetheuseofhazardous chemicals.
Themaintenancemanagerwillprovideinformationabouthazardouschemicalstowhichemployeesmay beexposedduringnonͲroutinetaskspriortoemployeesstartingsuchtasks. Thisinformationwillinclude:
Specific hazards involved.
Protective measures the employee should take.
Measures the company has taken to lessen the hazard, including ventilation, respirators, presence of another employee and emergency procedures.
Informing Contractors – 29 CFR 1910.1200(e) (2)
Thesafetymanagerandmaintenancemanagerwillprovidecontractorswhohaveemployeesatany maintenancefacilitythefollowinginformation:
Toxic and hazardous substances to which the contractor’s employees may be exposed.
Precautions the employees can take to lessen the possibility of exposure. Location of the SDS
Beforeworkisstarted,themaintenancemanagerwillcontacteachcontractortogatherand disseminateanyinformationconcerningchemicalhazardsthatthecontractorisbringingintoMV’s workplace.TheyarealsoresponsibleforensuringthatanyemployeesofMVwhoisexposedtothese hazardsareproperlytrainedandprotected.
List of Hazardous Chemicals – 29 CFR 1910.1200(e) (1) (i) Thesafetymanagerandmaintenancemanagerareresponsibleforpreparingandupdatingthelistofall chemicalsintheworkplacethatarepotentiallyhazardous.
Item No.7F
Item No.7F
TO:Andrew P. Powers, City Manager
FROM:Tim Giles, Human Resources Director
DATE:December 6, 2022
SUBJECT: Safety Compliance and Culture Services Agreement RECOMMENDATION:
1. Approve single source designation of Citadel Environmental Services, Inc., for workplace safety and culture services pursuant to Thousand Oaks Municipal Code Section 3-10.202.
2. Award agreement for professional services to Citadel Environmental Services, Inc., of Glendale, CA, for workplace safety and culture services effective January 1, 2023, and ending December 31, 2025, with two one- year options to extend the agreement. The not-to-exceed amount is $570,907 over the lifetime of the contract.
3. Authorize expenditure in FY 2022-23 in the total amount of $95,157 from the following accounts; $25,121 from A/C #621-8250-682-5699 (Hill Canyon Treatment Plant, Contracted Services), $21,124 from A/C #611- 8030-682-5699 (Water Distribution, Contracted Services), $10,562 from A/C #621-8220-682-5699 (Wastewater Collections, Contracted Services), $9,230 from A/C #001-5610-631-5699 (Roads, Contracted Services), $9,230 from A/C #001-5630-632-5699 (Landscape, Contracted Services), $6,566 from A/C #177-5320-631-5699 (Stormwater, Contracted Services), $5,329 from A/C #001-5660-631-5699 (Storm Drains, Contracted Services), $5,329 from A/C #142-5630-632-5699 (Landscape Assessment District, Zone: LLAD), $1,333 from A/C #621-8240-682-5699 (Industrial Waste, Contracted Services), and $1,333 from A/C #611-8070-682-5699 (Water Quality Assurance, Contracted Services).
4. Find that this action is not a “project” as defined under the California Environmental Quality Act.
Item No.7G
Safety Compliance and Culture Services Agreement
December 6, 2022
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6 FINANCIAL IMPACT:
No Additional Funding Requested. $95,157 is included in the Adopted FY 2022- 23 General Fund, Water Fund, Wastewater Fund, Stormwater Fund, and Landscape Assessment District Fund Budgets. Budget for future years will be requested during the upcoming biennial budget process.
BACKGROUND:
The City’s employee occupational health and safety program is administered by the Human Resources Department (HRD) and is supported by a single Health and Safety Officer. In 2018, HRD and Public Works Department (DPW) staff identified a need to assess the City’s Safety Program to evaluate compliance with regulatory obligations and to identify opportunities to improve and implement best practices.
Following a competitive Request for Proposals process in fall of 2018, staff entered into an agreement with Citadel Environmental Services, Inc., (Citadel) to perform an assessment of the City’s safety program. The assessment encompassed a review of City safety documents including policies, job specifications, training materials, information tracking, interviews of individuals and small workgroups in DPW, observations of safety training classes, and interviewing key Occupational Health and Safety (OH&S) leadership employees.
On June 12, 2019, Citadel provided staff a written OH&S Culture and Compliance Gap Assessment (Assessment) for DPW Operations Divisions (Streets, Landscape, Water, Wastewater, Fleet, and Hill Canyon Treatment Plant). The assessment identified several findings including; program issues, strengths, opportunities for improvement, and recommendations to enhance workplace safety. HRD and DPW staff reviewed the assessment and met with Citadel to evaluate the recommendations. Staff identified both the need to implement the recommendations, as well as continue to engage Citadel with providing additional safety consultant services.
On October 22, 2019, staff entered into a one-year agreement with two, one-year extension options with Citadel to implement the identified findings in the Assessment and to provide ongoing workplace safety consulting services. Both one-year extension options were authorized and executed. These agreements directly impacted the City’s OH&S program’s written policies, knowledge bank, Cal/OSHA reporting procedures, workplace safety evaluation and methodology, and communication amongst stakeholders and employees in DPW. The project directly led to the enhancement, development, and/or completion of 18 City regulatory process written programs and the establishment of a City Staff Safety Committee.
Item No.7G
Safety Compliance and Culture Services Agreement
December 6, 2022
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6 DISCUSSION/ANALYSIS:
Workplace safety assessments have addressed DPW’s ongoing operations and expanding Citadel’s services to support the City’s overall safety program, will aid in the City’s overall Cal/OSHA compliance, and employee workplace risk mitigation efforts. Citadel is professionally qualified and their experience, combined with their familiarity of the City’s safety program, organizational structure, and compliance and safety cultural initiatives, provide the necessary foundation for expanding upon workplace safety initiatives. For these reasons, staff recommends, (1) designating Citadel as a single source for safety compliance and culture services; and (2) entering into a new agreement (Attachment #1). Approval of this agreement with Citadel will allow staff to effectively address the entirety of the City’s workplace safety culture, develop efficiencies in its training program, and prepare policies and procedures to aide in regulatory requirement compliance and industry best practices.
COUNCIL GOAL COMPLIANCE:
Meets the following City Council goal:
C. Operate City government in a fiscally and managerially responsible and prudent manner to ensure that the City of Thousand Oaks remains one of California's most desirable places to live, work, visit, recreate, and raise a family.
PREPARED BY: Kevin Fishman, Health and Safety Specialist Attachments:
Attachment #1 – Agreement with Citadel Environmental Services HRD:180-40\kf\H:\RFP RFQ\2022\Safety Compliance and Culture\12062022 Staff Report Safety Compliance and Culture Item No.7G
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Project Name: Safety Compliance and Culture
AGREEMENT FOR PROFESSIONAL SERVICES
BETWEEN THE CITY OF THOUSAND OAKS
AND
CITADEL ENVIRONMENTAL SERVICES, INC.
THIS AGREEMENT is made and entered into this 1st day of January 2023, by and between CITY OF THOUSAND OAKS, a municipal corporation ("City"), and CITADEL ENVIRONMENTAL SERVICES, INC. ("Consultant").
City and Consultant agree as follows:
1. RETENTION OF CONSULTANT
City hereby retains Consultant, and Consultant hereby accepts such engagement, to perform the services described in Section 2. Consultant warrants it has the qualifications, experience, and facilities to properly and timely perform said services.
2. DESCRIPTION OF SERVICES
The services to be performed by Consultant are as follows:
Professional industrial hygiene and workplace safety assessment services in conjunction with a project to implement identified safety compliance, cultural advancements, and risk mitigation. Services and deliverables shall generally include professional industrial hygiene and safety services to lead a team, including City safety staff, in the development of comprehensive improvements to the City Safety Program to improve compliance and enhance the safety culture as more particularly described in the CONSULTANT’S SCOPE OF WORK, which is attached hereto as EXHIBIT A and which is incorporated herein as though set forth in full by this reference.
3. COMPENSATION AND PAYMENT
(a)Maximum and Rate. The total compensation payable to Consultant by City for the services performed under this Agreement SHALL NOT EXCEED the sum of $570,907 (hereinafter the “not to exceed amount”), and shall be earned as the work progresses on the following basis:
Hourly, at the hourly rates and with reimbursement to Consultant for those expenses which are set forth in CONSULTANT’S SCHEDULE OF FEES, which is attached hereto as EXHIBIT B and which is incorporated herein as though set forth in full by this reference. The rates and expenses set forth in EXHIBIT B shall be binding upon Consultant for the term of this Agreement.
ATTACHMENT #1
Item No.7G
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(b)Payment. Consultant shall provide City with written verification of the actual compensation earned, in a form satisfactory to City's Project Manager. Invoices shall be made no more frequently than on a monthly basis, and describe the work performed (including, if applicable, a list of hours worked by personnel classification). All payments shall be made within 30 days after City’s approval of the invoice. (c)Extra Services. Additional work not reasonably encompassed by the Scope of Services described in Section 2 may be agreed upon only by execution of a written Amendment to this Agreement. No liability or right to compensation for extra services shall exist without such Amendment. Unless otherwise stated in the Amendment, applicable rates for extra services shall be at the rates set forth in EXHIBIT B.
4. CITY PROJECT MANAGER
The services to be performed by Consultant shall be accomplished under the general direction of, and coordination with, City's "Project Manager", as that staff person is designated by City from time to time, and who presently is Health and Safety Specialist, Kevin Fishman.
5. TERM, PROGRESS AND COMPLETION
The term of this Agreement is from the date first written above to December 31, 2025, unless term of this Agreement is extended or the Agreement is terminated as provided for herein.
City Manager or his or her designee shall have the authority to extend the term of this Agreement in writing no more than 2 separate times, for a period of one year each.
Consultant shall not commence work on the services to be performed under the Agreement until (i) Consultant furnishes proof of insurance as required by paragraph 9 below, and (ii) City’s Project Manager gives written authorization to proceed with the work.
All services shall be completed within the term of this Agreement.
6. OWNERSHIP OF DOCUMENTS
All drawings, designs, data, photographs, reports and other documentation (other than Consultant's drafts, notes and internal memorandum), including duplication of same prepared by Consultant in the performance of these services, are the property of City.
City shall be entitled to immediate possession of the same upon completion of the work under this Agreement, or at any earlier or later time when requested by City. City agrees to hold Consultant harmless from all damages, claims, expenses, and losses arising out of any reuse of the plans, specifications, graphics, brochures, reports, and other documentation for purposes other than those described in this Agreement, unless written authorization of Consultant is first obtained.
Item No.7G
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7. PERSONAL SERVICES/NO ASSIGNMENT/SUBCONTRACTS
This Agreement is for professional services, which are personal to City. Natasha Stratton, Associate Principal, is deemed to be especially experienced and is a key member of Consultant's firm, and shall be directly involved in performing, supervising, or assisting in the performance of this work. This key person shall communicate with, and periodically report to, City on the progress of the work. Should said individual be removed from assisting in this contracted work for any reason, City may terminate this Agreement.
This Agreement is not assignable by Consultant without City's prior written consent.
8. HOLD HARMLESS AND INDEMNITY
(a)Hold Harmless for Consultant's Damages. Consultant holds City, its elected officials, officers, agents, employees and volunteers, harmless from all of Consultant's claims, demands, lawsuits, judgments, damages, losses, injuries or liability to Consultant, to Consultant's employees, to Consultant’s contractors or subcontractors, or to the owners of Consultant's firm, which damages, losses, injuries or liability occur during the work or services required under this Agreement, or performance of any activity or work required under this Agreement.
(b)Consultant shall indemnify, defend with legal counsel approved by City, and hold harmless City, its officers, officials, agents, employees and volunteers from and against all liability including, but not limited to, loss, damage, expense, cost (including without limitation reasonable legal counsel fees, expert fees and all other costs and fees of litigation) of every nature arising out of or in connection with Consultant’s negligence, recklessness or willful misconduct in the performance of work hereunder or its failure to comply with any of its obligations contained in the Agreement, except such loss or damage which is caused by the sole or active negligence or willful misconduct of City.
Should conflict of interest principles preclude a single legal counsel from representing both City and Consultant, or should City otherwise find Consultant’s legal counsel unacceptable, then Consultant shall reimburse City its costs of defense, including without limitation reasonable legal counsel fees, expert fees and all other costs and fees of litigation. The Consultant shall promptly pay City any final judgment rendered against City (and its officers, officials, employees and volunteers) with respect to claims determined by a trier of fact to have been the result of Consultant’s negligent, reckless or wrongful performance. It is expressly understood and agreed that the foregoing provisions are intended to be as broad and inclusive as is permitted by the law of the State of California and will survive termination of this Agreement.
Consultant’s obligations under this section apply regardless of whether or not such claim, charge, damage, demand, action, proceeding, loss, stop notice, cost, expense, judgment, civil fine or penalty, or liability was caused in part or contributed to by an Indemnitee.
However, without affecting the rights of City under any provision of this Agreement, Consultant shall not be required to indemnify and hold harmless City for liability Item No.7G
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attributable to the active negligence of City, provided such active negligence is determined by agreement between the parties or by findings of a court of competent jurisdiction. In instances where City is shown to have been actively negligent and where City’s active negligence accounts for only a percentage of the liability involved, the obligation of the Consultant will be for that entire portion or percentage of liability not attributable to the active negligence of City.
(c) Nonwaiver. City does not waive, nor shall be deemed to have waived, any indemnity, defense or hold harmless rights under this section because of the acceptance by City, or the deposit with City, of any insurance certificates or policies described in Section 9.
9. MINIMUM SCOPE AND LIMIT OF INSURANCE
Without limiting Consultant's indemnification of City, and prior to commencement of Work, Consultant shall obtain, provide, and maintain at its own expense during the term of this Agreement, and any extension thereof, policies of insurance of the type and amounts described below and in a form that is satisfactory to City.
Coverage shall be at least as broad as:
(a)Commercial General Liability (CGL): Consultant shall, at Consultant's sole cost and expense and throughout the term of this Agreement, and any extensions thereof, carry General Liability insurance coverage at least as broad as Insurance Services form CG 00 01 in an amount not less than $2,000,000 per occurrence, $4,000,000 general aggregate for bodily injury, personal and advertising injury and property damage, including without limitation, blanket contractual liability. (b)Automobile Liability: Consultant shall, at Consultant's sole cost and expense and throughout the term of this Agreement, and any extensions thereof, carry Automobile Liability insurance coverage at least as broad as Insurance Services form CA 00 01 or the exact equivalent covering bodily injury and property damage for all activities of Consultant arising out of or in connection with the work to be performed under this Agreement, including coverage of any owned, hired, non-owned, or rented vehicles, in an amount not less than $1,000,000 combined single limit for each accident. (c)Worker’s Compensation: Consultant shall, at Consultant's sole cost and expense and throughout the term of this Agreement, and any extensions thereof, carry workers’ compensation statutory benefits as required by law with employer’s liability limits no less than $1,000,000 per accident for bodily injury or disease. Consultant shall submit to City, along with the certificate of insurance, a Waiver of Subrogation endorsement in favor of City, its elected officials, officers, agents, employees and volunteers for all work performed by Consultant, its employees, agents and subcontractors. (d) Professional Errors and Omissions Insurance: Consultant shall, at Consultant’s sole cost and expense throughout the term of this Agreement, and any Item No.7G
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extensions thereof, carry professional errors and omissions coverage of no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate, with tail coverage for an extended reporting period of three (3) years.
If Consultant maintains higher limits than the minimum shown above, City requires and shall be entitled to coverage for the higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City.
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:
Additional Insured Status
City, its elected officials, officers, agents, employees and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to Consultant’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10 10 01 and CG 20 37 10 01 if a later edition is used). The provision shall also apply to any excess liability policies. In addition, Consultant shall ensure that the automobile liability policy contains a provision covering City as an additional insured, and shall obtain an endorsement to that effect if it does not.
Excess Insurance
The limits of insurance required in this agreement may be satisfied by a combination of primary and umbrella or excess insurance. Umbrella or excess policies shall provide coverage at least as broad as specified for underlying coverages and covering those insured in the underlying policies. Coverage shall be “pay on behalf” with defense costs payable in addition to policy limits. There shall be no cross-liability exclusion of claims or suits by one insured against the other. Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and no-contributory basis for the benefit of City as required in written contract or agreement before City’s own insurance or self-insurance shall be called upon to protect it as a named insured.
City’s Rights of Enforcement
In the event any policy of insurance required under this Agreement does not comply with these specifications or is cancelled and not replaced, City has the right but not the duty to obtain the insurance it deems necessary and any premium paid by City will be promptly reimbursed by Consultant, or City will withhold amounts sufficient to pay premium from Consultant’s payments. In the alternative, City may cancel this Agreement.
Item No.7G
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City’s Right to Revise Specifications
City reserves the right at any time during the term of the Agreement to change the amounts and types of insurance required by giving Consultant ninety (90) days advance written notice of such change. If such change results in substantial additional cost to Consultant, City and Consultant may renegotiate Consultant's compensation.
Primary and Non-Contributory Coverage
For any claims related to this Agreement, Consultant's insurance coverage shall be primary insurance as respects City, its elected officials, officers, agents, employees and volunteers. Any insurance or self-insurance maintained by City, its officers, officials, employees or volunteers shall be excess of Consultant's insurance and shall not contribute with it and shall be at least as broad as CG 20 01 04 13.
Notice of Cancellation
Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to City.
Deductibles and Self-Insured Retentions
Any deductibles or self-insured retentions must be declared to and approved by City. City may require Consultant to provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention.
Acceptability of Insurers
All insurance policies shall be issued by an insurance company currently authorized by the Insurance Commissioner to transact business of insurance in the State of California, with a current A.M. Best’s rating of no less than A:VII, (unless otherwise acceptable to City).
Waiver of Subrogation
All insurance coverage maintained or procured pursuant to this Agreement shall be endorsed to waive subrogation against City, its elected officials, officers, agents, employees or volunteers or shall specifically allow Consultant or others providing insurance evidence in compliance with these specifications - to waive their right of recovery prior to a loss. Consultant hereby waives his own right of recovery against City, and shall require similar written express waivers and insurance clauses from each of its subcontractors. Copies of these waivers shall be submitted to City prior to commencement of work.
Item No.7G
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Claims Made Policies
If any of the required policies provided coverage on a claims-made basis:
(a) The Retroactive Date must be shown and must be before the date of the Agreement or the beginning of contract work.
(b) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the work required under this Agreement. (c) If coverage is canceled or non-renewed, and not replaced with another claims- made policy form with a Retroactive Date prior to the Agreement effective date, Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of Agreement work.
Verification of Coverage
Consultant shall provide City with copies of certificates (on City certificate form or an Accord form as modified per City direction) for all policies, with the appropriate named additional insured coverage and an endorsement that they are not subject to cancellation without 30 days prior written notice to City. All certificates and endorsements are to be received and approved by City before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive Consultant's obligation to provide them. City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.
Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. For CGL coverage, subcontractors shall provide coverage with a form at least as broad as CG 20 38 04 13.
10. RELATION OF THE PARTIES
a.Consultant is and shall at all times remain as to the City a wholly independent contractor. The personnel performing the services under this Agreement on behalf of Contractor shall at all times be under Consultant's exclusive direction and control. Neither City nor any of its officers, employees, agents, or volunteers shall have control over the conduct of Consultant or any of Consultant's officers, employees, or agents except as set forth in this Agreement. Consultant shall not at any time or in any manner represent that it or any of its officers, employees or agents are in any manner officers, employees or agents of the City. Consultant shall not incur or have the power to incur any debt, obligation or liability whatever against City, or bind City in any manner. b.No employee benefits shall be available to Consultant in connection with Item No.7G
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the performance of this Agreement. Except for the fees paid to Consultant as provided in the Agreement, City shall not pay salaries, wages, or other compensation to Consultant for performing services hereunder for City. City shall not be liable for compensation or indemnification to Consultant for injury or sickness arising out of performing services hereunder.
11. CORRECTIONS
In addition to the above indemnification obligations, Consultant shall correct, at its expense, all errors in the work that may be disclosed during City's review of Consultant's report or plans. Should Consultant fail to make such correction in a reasonably timely manner, such correction shall be made by City, and the cost thereof shall be charged to Consultant or withheld from any funds due to Consultant hereunder.
12. TERMINATION BY CITY
City may terminate without cause any or all of the services agreed to be performed under this Agreement upon 60 calendar days written notice. If termination is for cause, no advance notice need be given. In the event of termination, Consultant shall have the right and obligation to immediately assemble work in progress for the purpose of closing out the job. All compensation for actual work performed and charges outstanding at the time of termination shall be payable by City to Consultant within 30 days following submission of a final statement by Consultant unless termination is for cause. In such event, Consultant shall be compensated only to the extent required by law.
13. ACCEPTANCE OF FINAL PAYMENT CONSTITUTES RELEASE
The acceptance by Consultant of the final payment made under this Agreement shall operate as and be a release of City from all claims and liabilities for compensation to Consultant for anything done, furnished, or relating to Consultant's work or services.
Acceptance of payment shall be any negotiation of City's check or the failure to make a written extra compensation claim within 10 calendar days of the receipt of that check.
However, approval or payment by City shall not constitute, nor be deemed, a release of the responsibility and liability of Consultant, its employees, subcontractors, agents and consultants for the accuracy and competency of the information provided and/or work performed; nor shall such approval or payment be deemed to be an assumption of such responsibility or liability by City for any defect or error in the work prepared by Consultant, its employees, subcontractors, agents and consultants.
14. AUDIT OF RECORDS
Consultant shall maintain, in accordance with generally accepted accounting principles, complete and accurate records of all activities and operations relating to this Agreement. Records, including but not limited to, timecards, employment records, work progress reports, reimbursements, invoices, project records, proprietary data and information, as well as licensed software and any electronic records shall be kept for a Item No.7G
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period of four years beyond the termination of this Agreement. Consultant agrees that City, or its authorized representative, shall have the right to examine, audit, excerpt, copy or transcribe any of the records pertaining to this Agreement at any time during normal business hours. Consultant shall reimburse City for all reasonable costs of the audit, including travel time and auditor costs, should such audit reveal an overcharge of five (5) percent or more. Any overcharge will be considered a breach of this Agreement and could be cause for termination. The obligations of this section shall be explicitly included in any subcontracts or other agreements entered into by Consultant with respect to this Agreement.
15. WAIVER; REMEDIES CUMULATIVE
Failure by a party to insist upon the strict performance of any of the provisions of this Agreement by the other party, irrespective of the length of time for which such failure continues, shall not constitute a waiver of such party's right to demand strict compliance by such other party in the future. No waiver by a party of a default or breach of the other party shall be effective or binding upon such party unless made in writing by such party, and no such waiver shall be implied from any omissions by a party to take any action with respect to such default or breach. No express written waiver of a specified default or breach shall affect any other default or breach, or cover any other period of time, other than any default or breach and/or period of time specified. All of the remedies permitted or available to a party under this Agreement, or at law or in equity, shall be cumulative and alternative, and invocation of any such right or remedy shall not constitute a waiver or election of remedies with respect to any other permitted or available right of remedy.
16. CONFLICT OF INTEREST
Consultant is unaware of any City employee or official that has a financial interest in Consultant's business. During the term of this Agreement and/or as a result of being awarded this Agreement, Consultant shall not offer, encourage or accept any financial interest in Consultant's business by any City employee or official.
17. CONSTRUCTION OF LANGUAGE OF AGREEMENT
The provisions of this Agreement shall be construed as a whole according to its common meaning of purpose of providing a public benefit and not strictly for or against any party. It shall be construed consistent with the provisions hereof, in order to achieve the objectives and purposes of the parties. Wherever required by the context, the singular shall include the plural and vice versa, and the masculine gender shall include the feminine or neutral genders or vice versa.
18. MITIGATION OF DAMAGES
In all situations arising out of this Agreement, the parties shall attempt to avoid and minimize the damages resulting from the conduct of the other party.
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19. GOVERNING LAW
This Agreement, and the rights and obligations of the parties, shall be governed and interpreted in accordance with the laws of the State of California. Should litigation occur, venue shall be in Superior Court of Ventura County.
20. TAXPAYER IDENTIFICATION NUMBER
Consultant shall provide City with a complete Request for Taxpayer Identification Number and Certification, Form W-9, as most recently issued by the Internal Revenue Service.
21. NON-APPROPRIATION OF FUNDS
Payments due and payable to Consultant for current services are within the current budget and within an available, unexhausted and unencumbered appropriation of City funds. In the event City has not appropriated sufficient funds for payment of Consultant’s services beyond the current fiscal year, this Agreement shall cover only those costs incurred up to the conclusion of the current fiscal year.
22. MODIFICATION/AMENDMENT OF AGREEMENT
Any amendment, modification, or variation of the terms or tasks of this Agreement shall be in writing and shall be effective only upon the mutual written approval of the City and Consultant.
23. USE OF THE TERM “CITY”
Reference to “City” in this Agreement includes the City Manager or any authorized representative acting on behalf of City.
24. PERMITS AND LICENSES
Consultant, at its sole expense, shall obtain and maintain during the term of this Agreement all appropriate permits, licenses, and certificates that may be required in connection with the performance of services under this Agreement.
25. CAPTIONS
The captions or headings in this Agreement are for convenience only and in no other way define, limit or describe the scope or intent of any provision or section of the Agreement.
26. AUTHORIZATION
Each party has expressly authorized the execution of this Agreement on its behalf Item No.7G
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and binds said party and its respective administrators, officers, directors, shareholders, divisions, subsidiaries, agents, employees, successors, assigns, principals, partners, joint venturers, insurance carriers and any others who may claim through it to this Agreement.
27. ENTIRE AGREEMENT BETWEEN PARTIES
Except for Consultant's proposals and submitted representations for obtaining this Agreement, this Agreement supersedes any other agreements, either oral or in writing, between the parties hereto with respect to the rendering of services and contains all of the covenants and agreements between the parties with respect to said services.
28. PARTIAL INVALIDITY
If any provision in this Agreement is held by a court of competent jurisdiction to be invalid, void or unenforceable, the remaining provisions will nevertheless continue in full force without being impaired or invalidated in any way.
29. NOTICES
Any notice required to be given hereunder shall be deemed to have been given by depositing said notice in the United States mail, postage prepaid, and addressed as follows:
TO CITY: City of Thousand Oaks
Human Resources Department
Attn: Kevin Fishman
2100 Thousand Oaks Boulevard
Thousand Oaks, CA 91362
TO CONSULTANT: Citadel EHS
Attn.: Natasha Stratton
28159 Avenue Stanford, Suite 224
Valencia, CA 91355
30. SIGNATURES
(a)Counterparts. This Agreement may be executed in two or more counterparts, each of which together shall be deemed an original, but all of which together shall constitute one and the same instrument.
(b)Scanned Signatures. In the event that any signature is delivered by facsimile transmission or submitted electronically as a scanned image (i.e., files with .pdf, .tiff or .jpeg extensions), such signature shall create a valid and binding obligation of the party executing (or on whose behalf such signature is executed) with the same force and effect as if such facsimile or scanned signature page were an original thereof.
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(c)Digital/Electronic Signatures. This Agreement may be executed through the use of digital or electronic signatures provided they meet the requirements of the Electronic Signatures in Global and National Commerce (ESIGN) Act and the California Uniform Electronic Transactions Act (UETA) and are produced using a City-approved method. The presence of an electronic signature on this document shall be construed as the parties’ consent to do business electronically.
IN CONCURRENCE AND WITNESS WHEREOF, this Agreement has been executed by the parties effective on the date and year first above written.
CONSULTANT
By: LOREN I. WITKIN, CEO
By: JEFF MISTARZ, CFO
CITY OF THOUSAND OAKS
_____________________________
Bob Engler, Mayor
ATTEST:
_____________________________
Laura B. Maguire, Acting City Clerk
APPROVED AS TO ADMINISTRATION:
_____________________________
Andrew P. Powers, City Manager
APPROVED BY DEPARTMENT HEAD:
_____________________________
Tim W. Giles, Human Resources Director
APPROVED AS TO FORM:
Office of the City Attorney
By: David S. Womack, Assistant City Attorney
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EXHIBIT A
CONSULTANT’S SCOPE OF WORK
Consultant shall lead a team, including the City's Health and Safety Officer, in the development of improvements to the City's Safety Program as set forth herein. In accomplishing the scope of work, Consultant's Key Contact and shall provide both remote and onsite assessment services. The scope of work shall be accomplished consistent with a schedule agreed upon by City's Project Manager and Consultant' s Key Contact.
Consultant shall identify and implement strategies to address the tasks listed below with a goal of creating a safety-centric workplace for all employees. The scope of services shall include clarifying the vision, strategy, and evaluation metrics of the City’s employee safety program, identifying appropriate training plans, increasing leadership engagement, developing/modifying policies and procedures to engage employee involvement and accountability, promoting risk awareness, and the general development of safety communications strategies.
Tasks
Task 1 Act as a support liaison to the City’s Health and Safety Officer as it pertains to the City’s staff members; including, those based out of City Hall, the Newbury Park Library, Grant Brimhall Library, Municipal Service Center, Hill Canyon Treatment Plant, and Civic Arts Plaza; Task 2 Assist in the needs-assessment and development of appropriate workplace safety training matrices which extend across the work performed by all City employees;
Task 3 Assist in enhancing training deliverables such as materials, presentations, training techniques, train-the-trainer;
Task 4 Develop a formal and sustainable workplace safety inspection program applicable to all City facilities;
Task 5 Expand upon the safety committee program development to include additional City departments or facilities;
Task 6 Assist in the development of comprehensive field assessments; Task 7 Expand written safety program development;
Task 8 Conduct annual sampling and exposure monitoring including asbestos pipe and respirable silica;
Task 9 Develop a comprehensive communication plan for safety compliance and safety-awareness;
Task 10 Conduct metrics audit and develop an annual scorecard Task 11 Re-engage in the gap assessment process by conducting ongoing interviews to evaluate progress; and
Task 12 Assist on an as-needed basis with Cal/OSHA regulatory compliance; such as environmental compliance, hazardous waste, and industrial hygiene.
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EXHIBIT B
CONSULTANT’S SCHEDULE OF FEES
Hourly Rates
Title Calendar Year
2023
Calendar Year
2024
Calendar Year
2025
Principal $327/hr $337/hr $347/hr
Assoc. Principal $250/hr $258/hr $265/hr
Senior Principal $225/hr $232/hr $239/hr
Consultant $193/hr $199/hr $205/hr
Consulting
Specialist
$168/hr $173/hr $178/hr
Consulting
Technician
$141/hr $145/hr $150/hr
Project Assistant $96/hr $99/hr $102/hr
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TO:Andrew P. Powers, City Manager
FROM:Laura B. Maguire, City Clerk
DATE:December 6, 2022
SUBJECT: Conflict of Interest Resolution Update
RECOMMENDATION:
1. Adopt resolution updating designated employees, officers, and disclosure category list for Conflict of Interest.
2. Find that the action of adopting the resolution is not a “project” under the California Environmental Quality Act Guidelines.
FINANCIAL IMPACT:
No Additional Funding Requested. Minimal staff time required to coordinate research efforts and prepare the report and resolution is included in the Adopted FY 2022-23 General Fund Budget.
BACKGROUND:
The Political Reform Act and Fair Political Practices Commission (FPPC) Code of Regulations require all local agencies to conduct a Biennial Review of their Conflict of Interest Codes. The City Clerk Department conducted the 2022 Conflict of Interest Biennial Review of the municipal code and Designated Filer Resolution. The resolution determines which employees, committee members, and consultants make or participate in making decisions which may have a foreseeable material effect on any financial interest. The resolution also identifies the appropriate disclosure categories under the Conflict of Interest Code.
Designated positions must file Assuming, Annual, and Leaving Office Statements per the Political Reform Act.
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Conflict of Interest Resolution Update
December 6, 2022
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9 DISCUSSION/ANALYSIS:
The Filing Official for the City must ensure that the City’s Conflict of Interest Code is accurate by completing these steps: 1) review organizational charts to ensure all “similar” level positions are reporting; 2) review disclosure categories to ensure “similar” positions have the same reporting categories; 3) ensure reporting categories are tailored to positions; 4) ensure reporting of real property interest applies to all positions where an individual decision can affect real property; and 5) add any new positions and/or changes to titles due to reclassifications.
The City Clerk Department conducted the required 2022 Biennial Conflict of Interest Review, as requested by FPPC, and completed all recommended FPPC steps. The review revealed the following changes in the list of Designated Employees were needed to match new position titles:
City Attorney’s Office
Added Position:
•Chief Assistant City Attorney
City Manager’s Office
Added Positions:
•Community Services Analyst
•Director of Strategic Communications and Public Affairs Eliminated Position:
•Assistant Economic Development Analyst
Community Development Department:
Eliminated Position:
•Neighborhood and Social Services Liaison
Cultural Affairs
Added Position:
•Associate Analyst
Finance
Added Position:
•GIS Analyst
Library
Eliminated Position:
•Associate Analyst
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Conflict of Interest Resolution Update
December 6, 2022
4 4
9 Public Works
Added Positions:
•Construction Inspector II
•Environmental Compliance Analyst
Changed Titles:
•Assistant Transit Analyst changed to Assistant Transit Planner •Senior Environmental Programs Inspector changed to Senior Environmental Compliance Inspector
•Senior Transit Analyst changed to Transit Program Manager Eliminated Positions:
•Environmental Programs Coordinator
•GIS Analyst
•Senior Purchasing Specialist
Designated Committee Members
Eliminated Position:
•Rent Adjustment Commission Member
The Conflict of Interest Resolution (Attachment #1) has been updated to include the revised positions and titles.
Consistent monitoring of positions and updating the Conflict of Interest Designated Filers Resolution complies with the Political Reform Act. In addition, it promotes the integrity of all employees and officers of the City, ensuring all citizens are served equally and duties are performed impartially without bias due to personal financial interest.
COUNCIL GOAL COMPLIANCE:
Meets the following City Council goal:
B. Provide municipal government leadership which is open and responsive to residents, and is characterized by ethical behavior, stability, promoting public trust, transparency, confidence in the future, and cooperative interaction among civic leaders, residents, business representatives, and staff, while recognizing and respecting legitimate differences of opinion on critical issues facing the City.
PREPARED BY: Christina Glaubke, Assistant Analyst
Attachments:
Attachment #1 – Resolution
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ATTACHMENT #1
RESOLUTION NO.
A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF THOUSAND OAKS UPDATING
DESIGNATED EMPLOYEES, OFFICERS, AND
DISCLOSURE CATEGORY LIST FOR FAIR
POLITICAL PRACTICES ACT REQUIREMENTS
(CONFLICT OF INTEREST) AND RESCINDING
RESOLUTION NO. 2020-053
WHEREAS, the Political Reform Act, Government Code §87300, et seq. requires every state and local government agency to adopt and declare a Conflict of Interest Code; and
WHEREAS, the Fair Political Practices Commission (FPPC) has adopted a regulation which contains terms of a standard model Conflict of Interest Code (Title 2 California Code of Regulations §18730), which is incorporated by reference, and will be amended to conform to amendments in the Political Reform Act after public notice and hearing conducted by the FPPC; and
WHEREAS, a designated employee is anyone within the City of Thousand Oaks who is an officer, employee, committee member or consultant who is designated in the Code because the position entails the making or participation in the making of decisions which may foreseeably have a material effect on any financial interest (G.C. §82019); and
WHEREAS, the term “designated employee” does not include public officials specified in Government Code §87200, e.g. City Councilmembers, Planning Commissioners, City Manager, City Attorney, City Treasurer, etc., nor does it include a position which is solely clerical, ministerial or manual; and WHEREAS, the City Council has previously designated employees, officers and disclosure categories in Resolution No. 2020-053 which now needs to be revised. The City Council determines the attached Appendices A-C accurately set forth those updated positions that should be designated and categories of financial interest which should be made reportable.
NOW, THEREFORE, the City Council of the City of Thousand Oaks resolves as follows:
Section 1. Council Resolution No. 2020-053 is hereby rescinded and superseded by this Resolution, and the attached Appendices A-C in which officials and employees are designated and disclosure categories are set forth.
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Section 2. Persons holding designated positions shall file Statements of Economic Interests pursuant to the City’s Conflict of Interest Code. The City Clerk shall carry out the duties of Filing Officer for the City Council, who is the Code Reviewing Body. FPPC approved the City’s eDisclosure system, provided the City with a SAN number, thus allowing for the electronic submission of Form 700s. For all 87200 filers, the City Clerk accepts the electronic filing and forwards a digital original to the FPPC. For all other designated filers, the City Clerk is the Filing Officer and retains the statements in digital format in eDisclosure. The City Clerk will make the statements available for public inspection and reproduction (G.C. §81008).
PASSED AND ADOPTED this 6th day of December, 2022, by the following vote:
Ayes:
Noes:
Absent:
_______________________________
Bob Engler, Mayor
City of Thousand Oaks, California
ATTEST/CERTIFY:
________________________________
Laura B. Maguire, Acting City Clerk
Date Attested:____________________
APPROVED AS TO FORM:
Office of the City Attorney
________________________________
Patrick J. Hehir, Chief Assistant City Attorney
APPROVED AS TO ADMINISTRATION:
________________________________
Andrew P. Powers, City Manager
The presence of electronic signature certifies that the foregoing is a true and correct copy as approved by the City of Thousand Oaks City Council on the date cited above.
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APPENDIX A
Disclosure Category
I. I. DESIGNATED EMPLOYEES Refer to Appendix B
A. City Attorney
1. Assistant City Attorney 1
2. Chief Assistant City Attorney 1
3. Deputy City Attorney 1
B. City Clerk
1. City Clerk 1
2. Deputy City Clerk 1
C. City Manager
1. Assistant City Manager 1
2. Assistant to the City Manager 1
3. Cable Operations Supervisor 3
4. Communications and Marketing Analyst 3
5. Communications and Marketing Associate Analyst 3
6. Community Services Analyst 3
7. Deputy City Manager 1
8. Director of Strategic Communications & Public Affairs 1
9. Economic Development Analyst 3
10.Economic Development Manager 1
11.Legislative Affairs/Intergovernmental Division Manager 3 D. Community Development
1. Assistant Planner 2
2. Associate Planner 2
3. Building Inspection Supervisor 2
4. Building Official Advisor 1
5. Building Official/Building Division Manager 1
6. Building Services Division Manager 1
7. Code Compliance Manager 2
8. Code Compliance Officer I/II 2
9. Combination Building Inspector I/II 2
10.Community Development Analyst 2
11.Community Development Director 1
12.Community Development Operations Manager 2
13.Community Development Technician I/II 2
14.COSCA Administrator 1
15.Deputy Community Development Director 1
16.Plan Check Assistant 2
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Disclosure Category
DESIGNATED EMPLOYEES Refer to Appendix B
17.Plan Check Associate 2
18.Plan Check Supervisor 2
19.Planning Division Manager 1
20.Senior Analyst 3
21.Senior Code Compliance Officer 2
22.Senior Combination Building Inspector 2
23.Senior Community Development Technician 3
24.Senior Planner 2
E. Cultural Affairs
1. Associate Analyst 3
2. Box Office Supervisor 3
3. Communications and Marketing Associate 3
4. Cultural Affairs Director 1
5. Deputy Cultural Affairs Director 1
6. House Supervisor 3
7. Theatres Technical Supervisor 3
F. Finance
1. Accountant 3
2. Accounting Manager 1
3. Accounting Supervisor 1
4. Administrative Hearing Officer 3
5. Assistant Analyst 3
6. Associate Analyst (with Purchasing duties) 3
7. Budget Officer 1
8. City Auditor 3
9. Debt and Investment Analyst 3
10.Deputy Finance Director 1
11.Facilities Maintenance Supervisor 2
12.Facilities Manager 2
13.Finance Director 1
14.GIS Analyst 3
15.Hourly City Worker – Senior Accountant 3
16.Information Technology Analyst II/III 3
17.Information Technology Manager 3
18.Information Technology Supervisor 3
19.Purchasing Specialist I/II 3
20.Purchasing Supervisor 1
21.Revenue Operations Manager 3
22.Revenue Operations Supervisor 3
23.Senior Accountant 3
24.Senior Financial Analyst 3
25.Senior Information Technology Analyst 3
26.Senior Purchasing Specialist 3
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Disclosure Category
DESIGNATED EMPLOYEES Refer to Appendix B
G. Human Resources
1. Associate Human Resources Analyst 3
2. Deputy Human Resources Director 1
3. Human Resources Director 1
4. Senior Human Resources Analyst 3
H. Library
1. Deputy Library Services Director 1
2. Library Division Manager 3
3. Library Services Director 1
I. Public Works
1. Assistant Analyst 3
2. Assistant Transit Planner 3
3. Associate Analyst 3
4. Associate Engineer 2
5. Construction Inspection Supervisor 2
6. Construction Inspector I/II 2
7. Deputy Public Works Director 1
8. Disaster Services Coordinator 3
9. Engineering Assistant 2
10.Engineering Associate 2
11.Engineering Division Manager 1
12.Environmental Compliance Analyst 3
13.Environmental Program Inspector I/II 3
14.Fleet Services Supervisor 3
15.Laboratory Supervisor 3
16.Landscape Maintenance Supervisor 3
17.Public Works Director 1
18.Public Works Superintendent 1
19.Senior Analyst 3
20.Senior Construction Inspector 2
21.Senior Engineer 2
22.Senior Environmental Compliance Inspector 3
23.Senior Instrumentation & Electrical Technician 3
24.Street Maintenance Supervisor 3
25.Surveyor 2
26.Sustainability Analyst 3
27.Sustainability Division Manager 1
28.Transit Program Manager 1
29.Transportation Planner 3
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Disclosure Category
DESIGNATED EMPLOYEES Refer to Appendix B
30.Utilities Superintendent 1
31.Utilities Maintenance Supervisor 3
32.Wastewater Treatment Plant Maintenance Supervisor 3
33.Wastewater Treatment Plant Operations Supervisor 3
34.Water Quality Supervisor 3
II. DESIGNATED COMMITTEE MEMBERS
A. Business Roundtable 5
B. Community Funding Review Committee 4
C. Disabled Access Appeals Advisory 5
D. Investment Review Committee 5
E. Traffic and Transportation Advisory Commission 5
F. Successor Agency to Redevelopment Agency 1
III. CONSULTANTS
Position title and category designation to be determined by City Clerk upon review of job duties and consultation with City Attorney and hiring department, as necessary.
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APPENDIX B
Disclosure categories pertain to investments, real property, business positions and sources of income, including loans, gifts and travel payments from sources located in or doing business within the jurisdiction of the City of Thousand Oaks (City).
GENERAL PROVISIONS
Category 1
A designated employee or committee member in this category must report all investments, business positions in business entities income, interests in real property, gifts, loans and travel payments, from any source, in or doing business in, the jurisdiction of the City.
Category 2
A. A designated employee in this category must report all investments, business positions in business entities, income, gifts, loans and travel payments from any source, in, or doing business in, the jurisdiction of the City which:
1. Engage in the appraisal, acquisition, disposal, development of real property, or rehabilitation or construction of improvements on real property including architects, contractors and subcontractors.
2. Provide services, supplies, materials, machinery, or equipment of any type utilized by any City Department and/or employee’s division.
B. A designated employee in this category must report interests in real property located within the jurisdiction of the City.
Category 3
A designated employee in this category must report all investments and business positions in business entities, income, gifts, loans and travel payments from any source, in or doing business in, the jurisdiction of the City which provide services, supplies, materials, machinery, or equipment of any type utilized by designated filers department and/or division.
Category 4
A designated committee member in this category must report all investments, business positions in business entities, income, gifts, loans and travel payments from any source, in or doing business in, the jurisdiction of the City which are subject to the regulation or supervision of the Board/Committee/Commission.
Category 5
A designated committee member in this category must report all investments, business positions in business entities, income, interests in real property, gifts, loans and travel payments from any source, in or doing business in, the jurisdiction of the City which are subject to the regulation or supervision of the Board/Committee/Commission.
Item No.7H
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