HomeMy WebLinkAboutAGENDA REPORT 2022 0720 CCSA REG ITEM 10FCITY OF MOORPARK, CALIFORNIA
City Council Meeting
of July 20, 2022
ACTION APPROVED STAFF
RECOMMENDATION, INCLUDING
ADOPTION OF RESOLUTION NO. 2022-
4120 (ROLL CALL VOTE: UNANIMOUS)
BY A. Hurtado.
F. Consider Resolution Acknowledging the Annual Review of the Moorpark City
Transit’s Public Transit Agency Safety Plan (PTASP) and Providing Updates and
Rescinding Resolution No. 2021-4030. Staff Recommendation: Adopt Resolution
No. 2022-4120 Acknowledging the Annual Review of the City of Moorpark Public
Transportation Agency Safety Plan Providing Updates and Rescinding Resolution
No. 2021-4030. (Staff: Daniel Kim, City Engineer/Public Works Director)
(ROLL CALL VOTE REQUIRED)
Item: 10.F.
MOORPARK CITY COUNCIL
AGENDA REPORT
TO: Honorable City Council
FROM: Dan Kim, City Engineer/Public Works Director
BY: Michelle Woomer, Administrative Assistant II
DATE: 07/20/2022 Regular Meeting
SUBJECT: Consider Resolution Acknowledging the Annual Review of the
Moorpark City Transit’s Public Transit Agency Safety Plan (PTASP)
and Providing Updates and Rescinding Resolution No. 2021-4030
BACKGROUND
The City of Moorpark (City) receives Federal Transit Administration (FTA) funding for local
bus and dial-a-ride services. An FTA “final rule”, effective July 19, 2019, for Public
Transportation Agency Safety Plans (PTASP) as authorized by the Moving Ahead for
Progress in the 21st Century Act (MAP-21) required states and certain operators of public
transportation systems to develop PTASPs. The PTASP is based on the Safety
Management System (SMS) approach. The City approved its first PTASP on
December 2, 2020, with Resolution No. 2020-3976. The PTASP identifies best practices
and safety performance targets for fatalities, injuries, safety events, and system reliability
and is intended to ensure that the City’s transit operations function in a safe manner. The
City is required to perform an annual review of the PTASP and identified July as the month
for the review to take place.
DISCUSSION
Staff has reviewed the PTASP previously approved on July 21, 2021, and made the
following updates:
• Updated the Fixed Route and Demand Response Safety Performance Targets for
System Reliability from “To be developed in 2021” to “To be developed in 2024”.
The reason for the delay is the City of Thousand Oaks (City’s contractor) continues
to work on a program that will be able to track this information.
Item: 10.F.
675
Honorable City Council
07/20/2022 Regular Meeting
Page 2
It is staff’s understanding that if no changes to the PTASP are warranted, then the City
would be able to approve the annual review with a stand-alone resolution; however
updates are necessary to the 2022 PTASP. Consequently, the proposed Resolution
(attached) not only provides approval of the annual review, but also acknowledges the
updates to the PTASP and rescinds Resolution No. 2021-4030 (which approved the 2021
PTASP).
FISCAL IMPACT
Participating in the PTASP is a requirement of future FTA funding. The City receives an
average of $260,000 annually in FTA funding for bus and dial-a-ride services.
COUNCIL GOAL COMPLIANCE
This action does not support a current strategic directive.
STAFF RECOMMENDATION (ROLL CALL VOTE REQUIRED)
Adopt Resolution No. 2022-____ Acknowledging the Annual Review of the City of
Moorpark Public Transportation Agency Safety Plan Providing Updates and Rescinding
Resolution No. 2021-4030.
Attachment: Draft Resolution No. 2022-____: 2022 City of Moorpark Public Transit
Public Transportation Agency Safety Plan
676
ATTACHMENT
RESOLUTION NO. 2022-____
A RESOLUTION OF THE CITY COUNCIL OF THE
CITY OF MOORPARK, CALIFORNIA, APPROVING
AND CERTIFYING THE 2022 ANNUAL REVIEW
AND UPDATES TO THE CITY OF MOORPARK
PUBLIC TRANSIT PUBLIC TRANSPORTATION
AGENCY SAFETY PLAN AND RESCINDING
RESOLUTION NO. 2021-4030
WHEREAS, the City of Moorpark/Moorpark City Transit (City) is committed to
safety as a core value of the agency; and
WHEREAS, Title 49, Code of Federal Regulations (CFR), Subtitle B, Chapter VI,
Part 673, Public Transportation Agency Safety Plan (PTASP) requires that an agency
PTASP be approved and certified by its governing board; and
WHEREAS, Title 49, CFR, Subtitle B, Chapter VI, Part 674, State Agency
Oversight, requires the California Public Utilities Commission (CPUC), which is the State
Transit Safety Oversight Agency, to ensure the transit agency has a PTASP compliant
with 49 CFR Part 673 adopted by the governing board; and
WHEREAS, City Council adopted Resolution No. 2020-3976 at their regular
meeting of December 2, 2020, approving the local PTASP for purposes of compliance with
the above stated regulations; and
WHEREAS, City Council adopted Resolution No. 2021-4030 at their regular
meeting of July 21, 2021, approving and certifying the annual review and updates to the
local 2021 PTASP; and
WHEREAS, the PTASP requires annual review and adoption of a new resolution;
and
WHEREAS, as part of the annual review updates to the PTASP have been
provided as identified in Exhibit A to this Resolution.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF MOORPARK DOES
HEREBY RESOLVE AS FOLLOWS:
SECTION 1. The City Council of the City of Moorpark hereby finds that the
PTASP is in compliance with 49 CFR Parts 673 and 674 and hereby approves and adopts
the City of Moorpark Public Transportation Agency Safety Plan annual review as set forth
in full in Exhibit A to this Resolution.
677
Resolution No. 2022-____
Page 2
SECTION 2. The City Clerk shall certify to the adoption of this resolution and
shall cause a certified resolution to be filed in the book of original resolutions.
PASSED AND ADOPTED this 20th day of July, 2022.
Janice S. Parvin, Mayor
ATTEST:
________________________________
Ky Spangler, City Clerk
Attachment: Exhibit A – City of Moorpark 2022 Public Transportation Agency Safety Plan
678
EXHIBIT A
City of Moorpark
799 Moorpark Avenue
Moorpark, CA 93021
Public Transportation Agency Safety Plan
Originally Adopted December 2, 2020
Updated and Re-Adopted July 20, 2022
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Contents
Definitions ....................................................................................................................... 3
Section 1 Transit Agency Information.............................................................................. 6
Subsection 1.1 Accountable Executive ........................................................................... 6
Subsection 1.2 Chief Safety Officer................................................................................. 6
Section 2 Plan Development, Approval, and Updates ..................................................... 7
Section 3 Safety Performance Targets (SPTs) ............................................................... 8
Subsection 3.1 Target Development ............................................................................... 8
Section 4 Overview of the Agency’s Safety Management Systems (SMS) ..................... 9
Section 5 Safety Management Policy .............................................................................. 9
Subsection 5.1 Safety Management Policy Statement .................................................... 9
Subsection 5.2 Safety Management Policy Communication ......................................... 10
Subsection 5.3 Employee Safety Reporting Program ................................................... 10
Subsection 5.4 SMS Authorities, Accountabilities, and Responsibilities ....................... 11
Subsection 5.4.1 Accountable Executive ...................................................................... 12
Subsection 5.4.2 Chief Safety Officer............................................................................ 12
Subsection 5.4.3 Agency Leadership and Executive Management ............................... 13
Subsection 5.4.4 Key Staff ............................................................................................ 13
Section 6 Safety Risk Management (SRM) ................................................................... 14
Subsection 6.1 Safety Hazard Identification .................................................................. 14
Subsection 6.2 Safety Risk Assessment ....................................................................... 15
Subsection 6.3 Safety Risk Mitigation ........................................................................... 17
Section 7 Safety Assurance .......................................................................................... 18
Subsection 7.1 Safety Performance Monitoring and Measurement .............................. 18
Section 8 Safety Promotion ........................................................................................... 20
Subsection 8.1 Safety Communication.......................................................................... 20
Section 9 Documentation……………………………………………………………………..22
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Definitions
The City of Moorpark incorporates all of the Federal Transit Administration’s (FTA)
definitions that are in 49 Code of Federal Regulations (CFR) 673.5 of the Public
Transportation Agency Safety Plan Regulation.
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 United States Code (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 Moorpark.
Agency Safety Plan (ASP), also referred to as the Public Transportation Agency Safety
Plan (PTASP), means the comprehensive agency safety plan for a transit agency,
including a Rail Transit Agency, that is required by 49 U.S.C. 5329(d) and based on a
Safety Management System.
Board or Board of Directors means the City of Moorpark City Council.
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.
City Council means the governing body of the City of Moorpark.
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.
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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.
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 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 Transit 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 (SMP) means the Transit 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 a Transit Agency’s
safety risk mitigation. Safety Management Systems includes systematic procedures,
practices, and policies for managing risks and hazards.
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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 Transit 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 Transit 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 (7) 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 Agency means an operator of a public transportation system.
Transit Asset Management Plan (TAM) 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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Background
The Public Transportation Agency Safety Plan (PTASP) final rule (49 C.F.R. Part 673)
requires operators of public transportation systems that are recipients or sub-recipients
of FTA grant funds to develop safety plans that include the processes and procedures
necessary for implementing a Safety Management System (SMS).
A SMP is defined as the formal, top-down, organization-wide, data driven approach to
managing safety risk and assuring the effectiveness of safety mitigation. It includes
systematic policies, procedures, and practices for the management of safety risk. The
goal is to deliver positive, measurable results and ensure the best use of available
resources to identify safety hazards, analyze safety risks, and mitigate potential risks.
The following Agency Safety Plan addresses all applicable requirements and standards
as set forth in FTA’s Public Transportation Safety Program and the National Public
Transportation Safety Plan.
Section 1 Transit Agency Information
City of Moorpark (hereinafter referred to as “City”) is a California municipal corporation
and a general law City. The City contracts for fixed route and demand response (Senior
and Americans with Disabilities Act paratransit). The City’s primary contractor is the
City of Thousand Oaks (Thousand Oaks) which has a contract with MV Transportation
Inc. (MV Transit) to provide bus and demand response services. Thousand Oaks
maintains the City’s bus fleet. The City is a recipient/subrecipient of Federal Urban
Area Formula Program (5307); Enhanced Mobility Seniors & People with Disabilities
Program (5310) funds. The City does not provide transportation services on behalf of
another entity.
Subsection 1.1 Accountable Executive
The City’s Accountable Executive is Troy Brown, City Manager. The City Manager 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, and control
or direction over the human and capital resources needed to develop and maintain both
this Plan and the TAM Plan.
The City Manager is accountable for ensuring that the Agency’s Safety Management
Systems (SMS) is effectively implemented throughout the Agency’s public
transportation system. The City Manager is accountable for ensuring action is taken, as
necessary, to address substandard performance in the Agency’s SMS. The City
Manager may delegate specific responsibilities, but the ultimate accountability for the
Transit Agency’s safety performance cannot be delegated and always rests with the
City Manager.
Subsection 1.2 Chief Safety Officer
The City Manager designates the City Engineer/Public Works Director as the City’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
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relationship with the operations and asset management functions at the City. The Chief
Safety Officer, Agency leadership/Executive Management shall, with the City’s
contractor, ensure operations are performed safely.
Section 2 Plan Development, Approval, and Updates
Name of Entity that
Drafted this Plan
City of Moorpark
Signature by the
Accountable Executive
Signature of
Accountable Executive
Date of Signature
Approval by the Board of
Directors
Name of Entity that
Approved this Plan
Date of Approval
City of Moorpark 07/20/2022
Relevant Documentation (Title and Location)
City of Moorpark City Council Agenda Item (10.F. dated
07/20/2022 – PTASP File
A Resolution approving and certifying the 2022 Annual
Review of the Moorpark Public Transit Agency Safety
Plan
Certification of
Compliance
Name of Entity that
Certified this Plan
Date of Certification
City of Moorpark 07/20/2022
Relevant Documentation (Title and Location)
Self-certified
Pursuant to 49 CFR Parts 673.13(a) and 673.13(b), the City certifies that it has
established this Agency Safety Plan, meeting the requirements of 49 CFR Part 673 and
will certify its compliance with 49 CFR Part 673.
Version Number and Updates
Version Number Section/Pages
Affected
Reason for
Change
Date Issued
1 Original Document 12/02/2020
2 Pages 6, 8, 13, 19,
20
2021 Annual
Review:
Position
Updates/System
Reliability Updates
07/21/2021
3 Pages 8, 13,19 2022 Annual
Review: Position
Updates/System
Reliability Updates
07/20/2022
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Annual Review and Update of the Agency Safety Plan
City shall update this Safety Plan when information, processes or activities change
within the Agency and/or when applicable regulations change, whichever comes
sooner. The Plan will be reviewed and updated by the Chief Safety Officer with the
assistance of subject matter experts annually in July. The Accountable Executive will
approve any changes, signing the revised Plan, then bringing it to the City of Moorpark
City Council for review and approval. Additionally, FTA will oversee compliance with the
requirements of Part 673 through the existing Triennial Review processes.
Section 3 Safety Performance Targets (SPTs)
Safety performance measurement is a key aspect of a safety management process,
and provides the basis for continuous safety improvement. Measurement and
evaluation of safety performance requires a carefully structured program of planning,
identifying valid measures, setting targets, conducting proper data analysis, and
implementing appropriate follow-up activities.
Subsection 3.1 Target Development
Successful performance targets are specific, measurable, attainable, relevant and time-
bound. The specific safety performance targets that the City adopted are based on the
Safety Performance Measures established by FTA in the National Public Transportation
Safety Plan. In the most recent version (2017 NSP3), FTA adopted four initial Safety
Performance Measures: (1) Fatalities, (2) Injuries, (3) Safety Events, and (4) System
Reliability.
Targets in the following table are based on review of the previous three (3) years of the
City’s safety performance data specific to each mode of transit service that the City
contracts for services. As the City contracts with Thousand Oaks for bus services and
demand services and City passengers on demand service travel with Thousand Oaks
residents, City’s performance targets match Thousand Oaks’ performance targets.
Safety Performance Targets
Mode of
Transit
Fatalities
(Total)
Fatalities
Rate
(per 100k
VRM)
Injuries
(Total)
Injuries
Rate
(per
100k
VRM)
Safety
Events
(Total)
Safety
Events
Rate
(per
100k
VRM)
System
Reliability
(Mean
distance
between Major
Mechanical
Failures)
Fixed
Route 0 0% 0 0.01 <1 0.01
To be
developed in
2024
Demand
Response 0 0% 0 0.01 <1 0.01
To be
developed in
2024
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Safety Performance Target Coordination
FTA requires Caltrans to coordinate with FTA Region 9 and Ventura County
Transportation Commission (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.
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,
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:
• Defined roles and responsibilities;
• Strong executive safety leadership;
• Formal safety accountabilities and communication;
• Effective policies and procedures; and
• Active employee involvement.
Furthermore, the City’s SMS is based on the four (4) principles of SMS which are
discussed in more detail in subsequent sections to this Safety Plan:
• Safety Management Policy
• Safety Risk Management
• Safety Assurance
• Safety Promotion
Section 5 Safety Management Policy
The first component of the City’s SMS is the Safety Management Policy (SMP), 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.
Subsection 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
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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:
• Clearly, and continuously explain to all staff that everyone working within the City
must take part and be responsible and accountable for the development and
operation of the Safety Management System (SMS).
• Work continuously to minimize safety risks. Work to comply with and, wherever
possible, exceed legislative and regulatory requirements and standards for
passengers and employees.
• 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.
• 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.
The City’s established safety performance targets 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.
Subsection 5.2 Safety Management Policy Communication
The Safety Management Policy is communicated throughout the Agency, which
includes applicable employees, contractors, and the City Council. The Chief Safety
Officer introduces principles of SMS and the Safety Management Policy Statement to
the Agency for dissemination to applicable employees and contractors and posting on
notice boards at applicable facilities. Distribution and review of the Safety Policy
Statement is also included in applicable new hire training, safety bulletins,
toolbox/tailgate safety meetings and/or safety committee meetings.
Subsection 5.3 Employee Safety Reporting Program
Employees who identify safety concerns in their day-to-day duties are encouraged to
report these safety concerns in good faith and without fear of retribution directly to
senior management or anonymously through reporting software or other alternatives.
Currently, MV Transit employees can report safety concerns anonymously through a
24-Hour Hotline. Thousand Oaks also has an Employee Safety Reporting Program.
The purpose, description and protections for employees to report unsafe conditions and
hazards are described in more detail in the following section.
Purpose:
a) To establish a system for 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
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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 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’s management.
Description:
a) This program provides a method for the City’s 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:
• Safety hazards in the operating environment (for example, county or city road
conditions),
• Policies and procedures that are not working as intended (for example,
insufficient time to complete pre-trip inspection),
• Events that senior managers might not otherwise know about (for example, near
misses), and
• Information about why a safety event occurred (for example, radio
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 miss 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.
f) Findings will be published immediately following mitigation actions. If employee
identification is available, direct feedback regarding mitigation will be provided.
Subsection 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:
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Subsection 5.4.1 Accountable Executive
The City’s Accountable Executive is the City Manager. The City Manager is
accountable for ensuring that the Agency’s SMS is effectively implemented throughout
the Agency’s public transportation system. The City Manager is accountable for
ensuring action is taken, as necessary, to address substandard performance in the
Agency’s SMS. The City Manager may delegate specific responsibilities, but the
ultimate accountability for the City’s safety performance cannot be delegated and
always rests with the City Manager. The City Manager is accountable for ensuring that
the Agency’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 City Manager’s roles include, but are not limited to:
• Decision-making about resources (e.g. people and funds) to support asset
management, SMS activities, and capital investments;
• Signing SMS implementation planning documents;
• Endorsing SMS implementation team membership;
• Ensuring safety concerns are considered and addressed in the agency’s ongoing
budget planning process;
• Ensuring transparency in safety priorities: for the Board of Directors and for the
employees;
• Establishing guidance on the level of safety risk acceptable to the agency;
• Assuring safety policy is appropriately communicated throughout the agency; and
• Other duties as assigned/necessary.
Subsection 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 safety risk management 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;
• 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; and
• Other duties as assigned/necessary.
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Subsection 5.4.3 Agency Leadership and Executive Management
The City Manager, Assistant City Manager, and Department Directors comprise Agency
Leadership/Executive Management. Some responsibilities include:
• Day-to-day implementation of the Agency’s SMS throughout their department
and the organization.
• Communicating safety accountability and responsibility from the frontline
employees to the top of the organization.
• 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.
• 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.
• Ensuring that resources are sufficient to carry out employee training/certification
and re-training as required by their job classifications.
• Providing subject matter expertise to support implementation of the SMS as
requested by the Accountable Executive or the Chief Safety Officer, including
Safety Risk Management activities, investigation of safety events, development
of safety risk mitigations, and monitoring of mitigation effectiveness.
Subsection 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:
• Ensuring that employees are complying with the safety reporting program.
• Ensuring supervisors are conducting their toolbox safety meetings.
• Promoting safety in employee’s respective area of responsibilities – that means:
zero accidents; absence of any safety concerns; perfect employee performance;
and compliance with agency rules and procedures and regulatory requirements.
• Ensuring safety of passengers, employees, and the public.
• Responding to customer complaints and expectations for frequency, reliability,
and convenience of service.
• Replacing and maintaining aging facilities, equipment, and infrastructure.
• Meeting increasing demands for fixed route, commuter service and paratransit
service.
• 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.
• Establishing clear lines of safety communication and holding accountability for
safety performance.
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• Assisting as subject matter experts in safety risk assessment and safety risk
mitigation processes.
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 uses the Safety Risk Management (SRM) process as a primary method to
ensure the safety of its contracted operations, passengers, employees, vehicles, and
facilities. It is a process whereby hazards and their consequences are identified,
assessed for potential safety risk, and resolved in a manner acceptable to the City’s
leadership. The SRM process allows City staff and/or service contractors, to carefully
examine what could cause harm and determine whether sufficient precautions have
been taken to minimize the harm, or if further mitigations are necessary.
In Carrying out the SRM process, the following terms are used:
• Event: Any accident, incident or occurrence;
• Hazard: Any real or potential condition that can cause injury illness, or death;
damage to or loss of the facilities, equipment, rolling stock, or infrastructure
belonging to the City or service contractors; or damage to the environment;
• Risk; Composite predicted severity and likelihood of the potential effect of a
hazard;
• Risk Mitigation: Method(s) to eliminate or reduce the effects of a hazard;
• Consequence: An effect of a hazard involving injury, illness, death, or damage to
City or Operations property or the environment.
The Safety Risk Management includes the following activities that are described in more
detail in the subsequent sections:
1. Safety Hazard Identification
2. Safety Risk Assessment
3. Safety Risk Mitigation
Subsection 6.1 Safety Hazard Identification
The safety hazard identification process offers the City the ability to identify hazards and
potential consequences in the operation and maintenance of the City’s transit services.
Hazards can be identified through a variety of sources, including:
• Employee safety reporting;
• Review of monthly performance data and safety performance targets;
• Observations from supervisors;
• Maintenance reports;
• Comments from customers, passengers, the public and third parties;
• Drivers’ and All-Staff meetings;
• Results from audits and inspections of vehicles and facilities;
• Results of training assessments;
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• Investigations into safety events, incidents, and occurrences;
• Review of vehicle camera footage; and
• FTA and other oversight authorities.
When a safety concern is observed by management or supervisory personnel, whatever
the source, it is reported to the Chief Safety Officer. The Chief Safety Officer may
conduct further analysis of hazards to collect information and identify additional
consequences and to inform which hazards should be prioritized for safety risk
assessment. In following up on identification hazards, the Chief Safety Officer may:
• Reach out to the reporting party, if available, to gather all known information
about the reported hazard,
• 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,
• Conduct interviews with employees in the area to gather potentially relevant
information on the reported hazard,
• Review any documentation associated with the hazard (records, reports,
procedures, inspections, technical documents, etc.),
• Contact other departments that may have association with or technical
knowledge relevant to the reported hazard,
• Review any past reported hazards of a similar nature, and
• 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 through the Safety Risk Management
Process for safety risk assessment and mitigation. Otherwise, hazards will be
prioritized for further Safety Risk Management activity.
Subsection 6.2 Safety Risk Assessment
Safety risk assessment 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 TSI Participation Guide – SMS Principles for
Transit, facilitates the ranking of hazards based on their probability of occurrence and
severity of their outcome. 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.
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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 may 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.
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 equipment destroyed and 4
is considered negligible or of little consequence with two levels in between.
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 exceeding $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 monetary 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.
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.
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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 management decision
required
1E, 2D, 2E, 3C, 3D, 3E, 4A,
4B, Medium Acceptable - with review by management
4C, 4D, 4E Low Acceptable - without review
The Chief Safety Officer documents recommendations regarding hazard rating and
mitigation options and reports this information to the Accountable Executive.
Subsection 6.3 Safety Risk Mitigation
The Chief Safety Officer, with assistance of key personnel, reviews current safety risk
mitigations and establish procedures to 1) eliminate; 2) mitigate; or 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:
• Development and deployment of policies and procedures that address known
hazards and risks,
• Discussion of other actions, strategies and procedures that might help safeguard
against unknown/unforeseen risks,
• Training of drivers and other agency staff on all safety policies and procedures,
• Training of drivers and other agency staff on methodologies for handling
emergencies, and
• 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.
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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 safety risk
management. 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.
The 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 and any reports of non-compliance with
applicable regulations, standards, and legal authority. The City also has an Injury
Illness Prevention Program (Appendix I). Finally, the Agency continually monitors
information reported to it from the management of contracted services.
Some of the key elements of the City’s Safety Performance Monitoring and
Measurement are described in the following section.
Subsection 7.1 Safety Performance Monitoring and Measurement
As part of the Safety Assurance Process, the City, staff and/or service contractors:
• Monitors the system for compliance with, and sufficiency of, the Agency’s
procedures for operations and maintenance through:
o Safety audits,
o Informal inspections,
o Regular review of on-board camera footage to assess drivers and specific
incidents,
o Employee safety reporting program,
o Investigation of safety occurrences,
o Safety review prior to the launch or modification of any facet of service,
o Daily data gathering and monitoring of data relating to the delivery of
service,
o Regular vehicle inspections and preventative maintenance, and
o Continuous feedback loop between leadership and all levels of the
agency.
Results from the above processes are compared against recent performance
trends to determine where corrective action needs to be taken.
• Monitors its operations to identify any safety risk mitigations that may be
ineffective, inappropriate, or were not implemented as intended through:
o Reviewing results from accident, incident, and occurrence investigations,
o Monitoring employee safety reporting,
o Reviewing results of internal safety audits and inspections, and
o Analyzing operational and safety data to identify emerging safety
concerns.
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If the mitigation is not implemented or performing as intended, a different course
of action is proposed to modify the mitigation or other action is taken to manage
the safety risk.
• Conducts investigations of safety events to identify causal factors and
determines whether:
o The accident was preventable or non-preventable,
o Personnel require discipline or retraining,
o The causal factor(s) indicate that a safety hazard contributed to or was
present during the event, and
o The accident appears to involve underlying organizational causal factors
beyond just individual employee behavior.
The City and/or service contractors maintain documented procedures for
conducting safety investigations of events (accidents, incidents, and occurrences
as defined by FTA) to find causal and contributing factors and review the
mitigations in place at the time of the event. These procedures also reflect all
traffic safety reporting and investigation requirements established by the
California Highway Patrol (CHP).
• Monitors information reported through any internal safety reporting programs or
other means:
o The Chief Safety Officer in coordination with the Public Works Staff and
Operations’ General Managers routinely reviews safety data captured in
contract 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 safety risk assessment process.
o The Chief Safety Officer, in coordination Public Works Staff and
Operations’ General Managers, 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.
o The Chief Safety Officer discusses relevant safety issues and concerns
with the Accountable Executive and executive management and
documents the results of these reviews.
• Compares system performance against established Safety Performance Targets
as described in Section 3 (Fatalities, Injuries, Safety Events and System
Reliability).
In the event of a fatality, the 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 $1,000, effective January 1, 2017, must
report the accident on a Report of Traffic Accident Occurring in California (SR 1)
form to the Department of Motor Vehicles (DMV). The report forms are available
at www.dmv.ca.gov, by calling 1-800-777-0133, and at CHP and DMV offices.
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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 City’s SMS is Safety Promotion, which includes a
combination of training and communication of safety information to employees to
enhance the Agency’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.
Subsection 8.1 Safety Communication
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. The City and contract services provide tools to support safety
communication include:
• Safety bulletins
• Safety notices
• Posters
• CDs or thumb drives or online safety video access
• Newsletters
• Briefings or Toolbox talks
• Seminars and workshops
• New employee training and refresher training
• Intranet or social media
• Safety Committee Meetings
Competencies and Training: Executive Management ensures that all applicable
employees attend the training provided to understand their specific roles and
responsibilities for the implementation of SMS. The City ensures SMS training in the
following areas:
All Employees:
• Understanding of Safety Performance Targets
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• Understanding of fundamental principles of SMS
• Understanding of Safety Reporting Program – Reporting unsafe conditions and
hazards/near misses
• Understanding of their individual roles and responsibilities under SMS
Managers and Supervisors
• Understanding of Safety Risk Management
• Understanding of Safety Assurance
• Understanding of Safety Promotion
• Understanding of their individual roles and responsibilities for SMS
Executive Management:
• 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 and its service contractors 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 skill-
related training include:
• Conducting training needs analyses to ensure that the right information is being
taught to the right employees using the most efficient training methods.
• Communicating purpose, objectives, and outcome.
• Ensuring relevant content by directly linking training to the trainee’s job
experiences so trainees are more motivated to learn.
• Using active hands-on demonstrations and practice to demonstrate skills that are
being taught and provide opportunities for trainees to practice skills.
• Providing regular feedback during hands-on practice and exercises.
• Reinforcing training concepts in the post-training work environment by giving
employees opportunities to perform what they have learned.
The City’s contractor, Thousand Oaks, also has a Public Transportation Agency Safety
Plan, and the City’s bus operator, 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 Transit System Safety Program is
included in Appendix II.
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.
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Appendix I
CITY OF MOORPARK
INJURY AND ILLNESS PREVENTION PROGRAM
October 24, 2016
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I. INTRODUCTION
In California, every employer is required by law (Labor Code Section 6400) to
provide a safe and healthful workplace. In addition, General Industry Safety
Orders Section 3203 requires every employer in the State, regardless of size or
industry, to implement an Injury and Illness Prevention Program (IIPP). A written
plan is required that describes the procedures to be put into practice.
II. STATEMENT OF SAFETY POLICY
It is the policy of the City of Moorpark (City) to strive for the highest safety
standards. Safety does not occur by chance. It is the result of careful attention to
all operations by those who are directly and indirectly involved. Employees at all
levels must work diligently to execute the City's policy of maintaining safety and
occupational health.
This safety program has been developed to assure compliance with Federal,
State, and Local regulations with particular emphasis on the Occupational Safety
and Health Act (OSHA), and the OSHA requirements that apply to our
operations. It is the obligation of all employees to be knowledgeable of the
standards established by these agencies and to implement the rules and
regulations contained therein on projects under their direction. Employees are
encouraged to access the California Joint Powers Insurance Authority (CJPIA)
Policy Library available through their website at www.cjpia.org to read or obtain a
copy of the current safety related sample policies, manuals, fact sheets,
checklists and other safety related forms.
Regard for the safety of our citizens, the general public, our own employees, and
the employees of our contractors is a responsibility of all levels of our
organization. We intend to prevent any human suffering. Accidents, even minor
ones, cause pain, both physical and mental. Prevention of injury and illness is a
goal well worth achieving.
A safe operation is organized, clean, and efficient. If every employee views
accidents in the same way we consider all other aspects of our operations, we
will be in a better position to control accidents and to improve the total
performance of our organization. It is, therefore, of utmost importance that all
aspects of our safety program are strictly adhered to, and that the intent of this
program is followed to the letter.
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III. ASSIGNMENT OF RESPONSIBILITIES
A. SAFETY PROGRAM COORDINATOR
The City Manager is the administrative head of the government of the City,
administers the City personnel system, and has overall responsibility for
compliance with and enforcement of laws and the ordinances of the City.
Section 2.12.060 of the City’s Municipal Code identifies the powers and
duties of the City Manager, including appointment authority. In compliance
with OSHA requirements, the City Manager has appointed the Assistant
City Manager, Administrative Services Department, as the City’s Safety
Program Coordinator with the following responsibilities:
1. Coordinate all loss control activities.
2. Establish minimum safe standards, rules, and regulations.
3. Review all supervisor accident investigation reports and follow up
on corrective action.
4. Establish training programs for employees and supervisors, as
required, and ensure safety training has been conducted as
required.
5. Report to the City Manager concerning safety concerns.
6. Serve as City representative for any OSHA audit or inspection of
City property or facilities.
7. Designate a Chair of the Safety Committee (Reference: "SAFETY
COMMITTEE CHAIR’S RESPONSIBILITIES" under the "SAFETY
COMMITTEE" section for more specific responsibilities).
8. Appoint a Secretary to record activities of the Committee.
9. Supervise preparation of the OSHA Injury and Illness Reporting
Forms 300, 300A, and 301, and maintain records for legal retention
period.
10. Conduct audits of the City’s safety programs to evaluate
compliance with OSHA requirements.
11. Report to City management regarding safety compliance status,
new or upcoming regulations, and other safety issues that require
their attention.
B. MANAGEMENT
Department directors shall support the City safety policy by:
1. Delegating and assigning safety responsibilities to all levels of
personnel.
2. Becoming fully knowledgeable of hazards and injury potentials in
their departments.
3. Ensuring employees and contractors are aware of and comply with
safety standards, work procedures, and OSHA regulations.
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4. Disciplining employees per the City’s discipline policy for violations
of safe practices and work procedures.
5. Correcting in a timely manner any unsafe conditions or work
practices that are observed or reported.
6. Appointing a Department Safety Coordinator.
7. Consistently monitoring safety program developments, progress,
and effectiveness.
8. Providing a budget to support loss control efforts.
C. SUPERVISORS
Division managers and supervisors have the following responsibilities:
1. Become fully knowledgeable of hazards and injury potentials in
their departments and/or divisions.
2. Communicate and enforce all City policies and procedures relating
to job safety, including safety rules and regulations to employees
under their supervision and ensure that contractors adhere to the
provisions of their contracts.
3. Respond to employee suggestions concerning safety matters,
including investigating any complaints or recommendations for
changes to commonly accepted safety practices or procedures.
4. Become knowledgeable of safety codes and regulations.
5. Conduct timely and effective hazard identification surveys and
accident investigations, and submit all related documentation to the
Safety Committee.
6. Conduct employee safety training and orientation, and submit
documentation of this training to the Safety Coordinator.
7. Correct in a timely manner any unsafe conditions or work practices
that are observed or reported.
8. Discipline employees per the City’s discipline policy for violations of
safe practices and work procedures.
D. EMPLOYEES
1. Safe Work Practices. Employees shall follow all safety rules and
procedures and ensure safety on the job for themselves and other
employees by complying with the following safe work practices:
a. Know the job and always apply safe work practices.
b. Recognize the hazards of the job and take precautions to
ensure the safety of themselves and others.
c. Adhere to all City policies and procedures relating to job
safety including both general safe work rules and task
specific rules and regulations.
d. Report all unsafe working conditions, tools, or equipment to
supervisory personnel immediately.
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e. Actively participate and cooperate in the overall safety
program.
f. Use all personal protective equipment as required.
g. Comply with all safety instructions from supervisors.
h. Obey all health and safety warning signs and standards.
i. Immediately report all accidents (vehicular or personal)
regardless of severity to the supervisor.
j. Do not jump from truck beds, platforms, fences, or other
elevated places.
k. Do not take shortcuts in or over dangerous places.
l. Do not participate in practical jokes and horseplay.
m. Do not wear loose clothing and jewelry while working on or
near equipment and machines.
n. Lift heavy objects using proper techniques and assistive
equipment when needed, and comply with supervisor’s
safety instructions when lifting.
2. Safety Suggestion and Complaint Procedure. Employees shall
have the right to make suggestions or complaints concerning safety
matters, including anonymous suggestions or complaints. Safety
suggestions or complaints may be made at any time, and an open
communication process between an employee and supervisor is
encouraged. If an employee has a suggestion or complaint
pertaining to job safety that has not been resolved informally with
their supervisor or division head, then the following safety complaint
reporting process should be followed, unless the department head,
Safety Program Coordinator, or City Manager determines an
immediate response to a safety complaint is required based on the
potential for injury or illness:
a. If the employee is not in agreement with the decision
rendered in the informal suggestion or complaint procedure,
an employee shall have the right to present a formal
complaint in writing to the department head. The department
head shall review the complaint and meet with the employee
within ten (10) work days of receipt of the complaint. The
department head shall prepare a written response and return
it to the employee with a copy to the City Manager, within
five (5) work days after meeting with the employee.
b. If the employee does not agree with the decision reached by
the department head on the safety complaint, the employee
may present in writing a formal, signed complaint to the City
Manager, with a copy to the Safety Program Coordinator,
within five (5) work days after the employee's receipt of the
department head's decision. The Safety Program
Coordinator shall schedule a meeting with the employee and
City Manager within ten (10) work days. Within seven (7)
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work days after the meeting, the City Manager shall render a
formal decision in writing, with a copy to the employee,
department head, and Safety Program Coordinator. The
decision of the City Manager shall be final.
c. Employees that prefer to submit an anonymous complaint
may submit such complaint directly to the Safety Program
Coordinator, for a recommendation to the City Manager. The
Safety Program Coordinator shall provide a written notice of
the complaint resolution decision of the City Manager to all
applicable supervisory personnel and the department head
within seventeen (17) work days of receipt of complaint. The
decision of the City Manager shall be final.
IV. CITY SAFETY COMMITTEE
A. At the request of the Safety Program Coordinator, department directors
will designate committee members. The Safety Program Coordinator will
designate the Safety Committee Chair and may designate a Vice-Chair if
determined necessary.
B. Committee membership will include representatives from each City
Department. The Administrative Services Department will represent the
City Manager’s Office.
C. The Safety Committee will assist the Safety Program Coordinator in
carrying out a planned safety program.
D. The Committee should confine all activities to the safety of employees,
City vehicles and property, and public liability exposures.
E. The functions of the Committee shall include:
1. Review accident trends, analyze records and reports, and take
appropriate action where trend indicates need.
2. Discuss injury prevention strategies.
3. Check on all activities to see that they are being carried out
effectively. (Some examples are: monthly department inspections
by first line supervisors, accident investigations by supervisors,
meetings on safety between employees and first line supervisors,
prompt action on safety work.)
4. Assist all supervisors in their efforts to implement accident
prevention.
5. Review recommendations submitted by supervisor, and take
appropriate action.
6. Promote and maintain interest in departmental safety activities,
inspections, etc.
7. Review and discuss accident experience.
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8. Investigate accident reports as a basis for recommending means to
prevent recurrence.
9. Review recommendations resulting from departmental inspections
and establish a procedure for handling suggestions.
10. Develop and review safety rules.
11. Discuss non-confidential safety complaints received from
employees.
12. Conduct safety inspections.
F. This Committee will meet not less than quarterly each year. Each meeting
will be documented through the use of the Minutes form in the Staff
Share/Risk Management/Injury & Illness Prevention Program folder. The
Minutes shall be prepared by the Safety Committee Chair, or by any other
designee of the Safety Program Coordinator. Each committee member is
responsible for reporting back to his/her department or division any
pertinent information discussed at the safety meeting.
G. The following is presented as a suggested order of business for Safety
Committee meetings:
1. Call to Order - the meeting should be called to order promptly at the
appointed time.
2. Roll Call - names of members and others present and absent
should be recorded.
3. Minutes of Previous Meeting - should be read and corrections
made.
4. Unfinished Business - all matters on which definite decisions have
not been made should be brought up for reconsideration.
5. Review of Accidents and Statistics - any accidents, which occurred
since the prior meeting, should be reviewed and preventative
measures discussed.
6. Safety Education- when time permits, the Chair will head a
discussion on a selected safety topic.
7. Inspection and Recommendations - review Department Inspection
Reports and include in the minutes.
8. New Business - safety suggestions and potential hazards and
recommendations should be discussed.
9. Adjournment
H. The agenda will be published and sent to each Committee member prior
to the meeting. It will also be posted on the bulletin boards for employees
to observe at least twenty-four (24) hours prior to the scheduled meeting.
I. The date, time, and place of the meeting will be noted on the posted
agenda.
J. The duties of the Chair of the Safety Committee will include:
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1. Through consultation with Safety Program Coordinator, direct
activities of the Safety Committee.
2. Schedule and conduct quarterly meetings.
3. Supervise selection and distribution of safety educational and
motivational literature or posters on bulletin boards.
4. Determine, with the Safety Program Coordinator, the need for
authoritative safety references (codes, standards, etc.), procure
them and place them in the hands of persons who are to apply
them.
5. Assist in the review and critique of accident investigation reports.
6. Assist in the safety education of Committee members.
7. Assign Committee members special projects, with the approval of
the Safety Program Coordinator.
8. Assist and advise the Safety Program Coordinator in the
formulation and presentation of safety training programs.
9. Assist the Safety Program Coordinator with coordination with the
CJPIA insurance company(ies) and other safety representatives
serving the CJPIA, accompanying them on their surveys, if
requested by the Safety Program Coordinator, and make maximum
utilization of their assistance.
V. EMPLOYEE EDUCATION AND TRAINING
A. Apathy about safety and unsafe actions are often the cause of accidents
in business and industry. Training is one way to change the way
employees think and act. Training of employees should start the first day
on the job. It should continue thereafter.
B. All employees shall receive safety training to assist them in effectively
completing their responsibilities in this regard.
C. All new hires shall review the IIPP and sign an acknowledgement as a part
of the new employee orientation. The IIPP shall be subsequently reviewed
and acknowledged in writing by employees each time the IIPP is
amended.
D. Safety training and orientation must be documented by the supervisor in
the mid-probation and annual performance evaluations. Evidence of
completion of mandatory OSHA Safety training shall be provided to the
Safety Program Coordinator for filing purposes.
E. Supervisors are responsible for observing the new employee on the job
after initial orientation and training have been completed and establishing
a period for evaluating employee safe work habits to ensure compliance
with safety standards.
F. Supervisors are responsible for providing safety training to the employees
under their supervision. Basic safety training will be provided to all new
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employees and to current employees when given new or different job
assignments. Supervisors should also periodically review safety training
topics with employees under their supervision. Basic safety training will
include the following:
1. Management’s intent and attitude towards safety.
2. City safety policies, rules, and procedures.
3. Written job description information to compliment actual on the job
training activities.
4. Use, care, and maintenance of any required personal protective
equipment.
5. Potential exposure to any major hazards (e.g., chemicals, toxic
materials, hazardous equipment, etc.) and ensure that they fully
understand the degree of hazard and the necessary precautions.
6. City disciplinary policies for violation of safety rules and regulations.
.
G. Periodic safety training, typically provided by CJPIA or another
professional organization, will be scheduled by the Human
Resources/Risk Management Division and includes the following:
1. Blood-borne pathogens.
2. Fire extinguisher use.
3. Driver awareness.
4. Hazard communication.
H. Additional specialized training, typically provided by CJPIA or another
professional organization, may be scheduled by a department director, a
supervisor (with the department director’s approval), or the Human
Resources/Risk Management Division. Specialized training may include
the following:
1. Respiratory training and fit test.
2. Confined space entry.
3. Hearing conservation.
4. Heat stress.
5. Ergonomics.
6. First aid, CPR, and AED.
7. Preventing substance abuse, safety sensitive positions.
I. Training shall also be provided directly by a supervisor, or if a more
specialized level of training is needed, scheduled with a professional
organization by a department director or a supervisor (with the department
director’s approval) whenever:
1. New substances, processes, procedures, or equipment are
introduced to the workplace and represent a new hazard. Any new
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substances or equipment shall include training that follows the
manufacturer’s guidelines.
2. Management becomes aware of a new or previously unrecognized
hazard.
VI. FACILITY INSPECTIONS
A. Inspection procedures have two basic objectives:
1. Maintaining a safe work environment and controlling the unsafe
actions of people, and
2. Maintaining operational profitability.
B. Inspections will not be limited to a search for unsafe conditions but will
also try to detect unsafe practices.
C. Corrective actions needed and other recommendations resulting from
inspections will be prioritized, assigned to a responsible individual and
given a time limit for completion.
D. Inspections shall be completed annually.
E. The Facilities Office Hazard Checklist and Safety Checklist will be used
during facility inspections (the Inspection Checklist Forms are available in
the Staff Share/Risk Management/Safety Committee folder).
1. All formal inspections must be documented.
2. The Facilities Office Hazard Inspection for each workplace facility is
to be conducted by the employee designated by the Parks and
Recreation Director.
3. The Safety Inspections are to be conducted by the employee
designated by each department director. The Administrative
Services Department will represent the City Manager’s Office.
4. Copies of the Inspection Checklists or a summary report prepared
by the Safety Committee Chair shall be submitted to the Safety
Committee for review.
VII. ACCIDENT INVESTIGATIONS
A. The objective of an accident or incident investigation is to find the causes
of an accident or other incident that results in injury, illness, or property
damage. This will allow corrective action to be devised and implemented
and minimize a recurrent problem.
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B. Employees must report all accidents, injuries, and work-related illnesses,
as well as any incident that could have resulted in an injury or property
damage (including near miss incidents) to their supervisor immediately. If
their supervisor is not immediately available, the accident, injury, illness,
or incident must be immediately reported to the Human Resources/Risk
Management division and the department director.
C. Investigation procedures are as follows:
1. Investigations will be conducted for all accidents or incidents which
require an employee to seek a physician's care, prevent an
employee from completing all of their job duties, or cause property
damage. An accident investigation will also be required for all first
aid cases, which might have resulted in more serious
consequences.
2. The investigation will be made by the supervisor in charge of the
injured employee, or that supervisor having jurisdiction over the
damaged equipment and/or property.
3. The investigation shall be made within 24 hours of the accident or
incident.
4. The supervisor conducting the investigation will record the results
of the investigation on the Supervisor’s Injury or Illness Event
Report (for any work-related employee injury or illness) available in
the Staff Share/Human Resources/Workers Compensation folder,
and may be asked by the Safety Program Coordinator to also
complete the CJPIA Significant Incident Form available in the Staff
Share/Risk Management/Forms folder (including for recording of
property damage and/or non-employee injury or illness).
5. The completed investigation form(s) will be reviewed by the Safety
Program Coordinator and discussed with the Safety Committee.
6. The investigation report shall indicate the specific causes of the
accident or incident. Specific actions or conditions which led to the
accident or incident must be included. Statements such as "the
cause of the accident was carelessness" are not useful or
acceptable.
7. When applicable, the Workers’ Compensation Claim form (DWC 1
form) available in the Staff Share/Human Resources/Workers
Compensation folder, and the Employer’s Report of Occupational
Injury or Illness form (Form 5020) will be completed and submitted
to the City’s Workers Compensation claims adjuster company
within the time limits required by State law. California law requires
employers to complete the Employer’s Report of Occupational
Injury or Illness Form 5020 within five (5) days of knowledge of
every occupational injury or illness which results in lost time beyond
the date of the incident or requires medical treatment beyond first
aid (this report is typically completed online by the City’s Human
Resources/Risk Management staff). Every serious injury/illness or
death must be reported immediately by telephone or FAX to the
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nearest office of the Division of Occupational Safety and Health
(OSHA) and the CJPIA. All supervisors have direct responsibility to
immediately accomplish the serious injury/illness or death reporting
as required by law.
VIII. CHEMICAL, EQUIPMENT, AND PROCEDURE INSPECTIONS
A. Inspections shall be conducted when new substances (including
chemicals), processes, procedures, or equipment are introduced into the
workplace that represent a new occupational safety or health hazard. This
inspection shall be conducted by the Department Safety Coordinator or
other designee of the Safety Committee Chair or Safety Program
Coordinator. The purpose of the inspection shall be to determine what, if
any, new training is needed for the new substances, processes,
procedures, or equipment and to ensure the proper use and/or
implementation of the new substances, processes, procedures, or
equipment.
B. Substances, equipment, and procedures not currently in use or operation
must be reviewed and approved by the Department Safety Coordinator
prior to purchase, use, and/or implementation.
IX. CORRECTING UNSAFE AND/OR UNHEALTHY CONDITIONS
A. All employees should be cognizant of unsafe and/or unhealthy conditions,
and are responsible for either correcting or reporting unsafe and/or
unhealthy conditions. Employees must correct unsafe and/or unhealthy
conditions when it is within their job description and capability to do so. If
an employee is unable to correct an unsafe and/or unhealthy condition,
he/she must report it to his/her supervisor, or complete a work order to
have the condition corrected.
B. Methods of correcting unsafe or unhealthy conditions will vary depending
upon the degree of hazard and control of the work site. Minor hazards,
such as housekeeping issues, trip hazards, minor spills, etc. shall be
corrected immediately. Hazardous conditions of a more serious nature, or
conditions which cannot be immediately remedied, must be handled so as
not to result in injury, illness, or property damage. This may require work
to be stopped, equipment to be tagged and taken out of service until
repaired, or the area to be cleared until corrective action can be taken.
C. Hazards of an imminent nature will require emergency notifications and
evacuation. If an emergency situation arises that results in an imminent
hazard that cannot be immediately abated, employees will be evacuated
(per the City’s evacuation procedures) from the area to a safe location
until the situation is corrected.
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D. Any injury, illness, or property damage that results from an unsafe and/or
unhealthy condition must be reported, and an investigation will be
completed as described in the Accident Investigation section of this IIPP.
X. SAFETY PROGRAM EVALUATION
A. In order to ensure that the City’s Safety program is adequately monitored
and maintained, it is necessary to conduct periodic evaluations of the
program and the supervisors' activities that are a vital part of it.
B. These evaluations are designed to complement the ongoing monitoring
conducted by the Safety Committee through their efforts.
C. Annually, each department director will complete the Annual Safety
Program Evaluation Form in the Staff Share/Risk Management/Injury &
Illness Prevention Program folder for submission to the City Manager on
the due date as determined by the City Manager.
D. The Annual Safety Program Evaluation forms will then be reviewed and
discussed at a Management Staff Meeting. “Unsatisfactory” and “Needs
Improvement” ratings shall be discussed and included as a focal point of
management efforts during the next year.
E. For the Public Works and Parks, Recreation, and Community Services
Departments, the Report of Supervisor’s Safety Activities Form (available
in the Staff Share/Risk Management/Injury & Illness Prevention Program
folder) should be submitted by supervisors of maintenance staff to
department directors no less than annually for review and action as
necessary. A copy of those reports should be attached to the Annual
Safety Program Evaluation Form when submitted to the City Manager.
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System Security &
Emergency Preparedness
Plan
Division 077
July / 2021
www.mvtransit.com
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Section 1. Table of Contents
Section 1. Table of Contents......................................................................................................................1
Section 2. Foreward...................................................................................................................................3
2.1. Policy Statement 3
2.2. SSEPP Program Plan Revision History 4
2.3. Reference Documents 4
2.4. Glossary of Terms 6
Section 3. Introduction..............................................................................................................................9
3.1. Background 9
3.2. Authority 9
3.3. Purpose, Goals and Objectives of SSEPP Program 10
3.3.1 Purpose 10
3.3.2 Goals 11
3.3.3 Objectives 11
3.4. Scope 12
Section 4. Transit System Description.....................................................................................................13
4.1. Organizational Structure 13
4.2. Operating Characteristics and Service 13
4.2.1 Service Area 13
4.2.2 Service Design 13
4.3. Services and Facilities 14
4.4. Measures of Service 14
4.4.1 Methodology to Achieve SSEPP Goals 15
4.5. Hazard Identification and Resolution Process (MIL - 882D) 16
4.5.1 Hazard Identification 16
4.5.2 Hazard Assessment 17
4.5.3 Risk Assessment 18
4.6. Follow-Up 19
Section 5. SSEPP Program Roles and Responsibilities.............................................................................20
5.1. Philosophy 20
5.2. Division of Responsibilities 20
5.2.1 All Personnel 20
5.2.2 Senior Vice President of Safety & Training 21
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5.2.3 SSEPP Program Point of Contact (POC) 21
5.2.4 Location Safety Committee (LSC) 22
5.2.5 Supervisors 23
5.2.6 Bus Operators 24
5.2.7 Other Personnel 24
5.3. Responsibility Matrices 25
5.4. Existing SSEPP Capabilities and Practices26
5.5. Training and Exercising 27
5.6. Coordination with Local Public Safety Agencies 28
5.7. Coordination with Other Transit Providers 28
5.8. Security Incidents Trend Analysis 29
5.8.1 Facility Security 30
5.8.2 Vehicle Security31
5.8.3 Management Information Systems Security 32
5.9. Internal Security Practices 32
5.10. External Security Component 33
Section 6. Threat and Vulnerability Resolution Process..........................................................................34
6.1. Threat, Vulnerability and Consequence Identification and Resoulution 34
6.2. Threat and Vulnerability Identification 34
6.3. Threat and Vulnerability Assessment 35
6.4. All Hazards Threat and Vulnerability Identification and Analysis 36
Section 7. Evaluation and Modification of the SSEPP..............................................................................38
7.1. Evaluation 38
7.1.1 Internal38
7.2. Modification and Update 38
Section 8. Threat Levels and Alerts .........................................................................................................39
8.1. Homeland Security Advisory System (HSAS) for Transit 39
8.1.1 Low Condition (Green) 39
8.1.2 Guarded Condition (Blue) 40
8.1.3 Elevated Condition (Yellow) 40
8.1.4 High Condition (Orange) 41
8.1.5 Severe Condition (Red) 41
8.1.6 Active Incident 41
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8.1.7 Recovery Phase42
8.2. Federal Bureau of Investigation Alerts 42
8.3. Public Transit Information Sharing and Analysis Center (PT-ISAC)42
8.4. Homeland Security Information Network – Public Transit (HSIN-PT) 43
Section 9. Appendices .............................................................................................................................44
9.1. Appendix A Vehicle Safety Program Implications44
9.2. Appendix B: Security Baseline Planning Worksheet 47
9.3. Appendix C: Emergency Response Planning, Coordination, and Training Considerations 50
9.4. Appendix D: Bomb Threat Checklist and Procedures 52
9.5. Appendix E : Types of Preparation Exercises 62
9.6. Appendix F: Reporting Criminal Activity 63
9.7. Appendix G: Emergency Action Plan 64
9.7.1 Elements 65
i. Emergency Escape Procedures and Routes 65
ii. Employee Accountability Procedures after Evacuations 65
iii. Rescue and Medical Duties 65
iv. Alarm System 66
v. Training 66
9.7.2 Emergency Shutdown Procedures 66
9.8. Appendix H – Chemical Hazard Communication Program Plan 69
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Section 2. Foreward
2.1. Policy Statement
It is the objective of MV Transportation, Inc. (“MV”)to provide safe, secure and reliable service for its
passengers and employees. To demonstrate this commitment, MV has developed this Security and
Emergency Preparedness Program Plan.
MV has a sincere concern for the welfare and safety of its employees, contractors, and public safety
partners, as well as the public it serves. The operation of MV requires a continual emphasis on security,
from the procurement of new systems and equipment, through the hiring and training of employees, to
the management of the agency and the provision of service. The security function must be supported by
an effective capability for emergency response, both to support resolution of those incidents that occur
on transit property and those events that affect the surrounding community served by MV.
This plan describes the policies, procedures and requirements to be followed by management,
maintenance and operating personnel in order to provide a secure environment for agency employees,
volunteers, and contractors, and to support effective emergency response. All personnel are expected
and required to adhere to the policies, procedures, and requirements established herein and to properly
and diligently perform security-related functions as a condition of employment or support for MV.
The security function must be supported by effective emergency response capabilities to ensure that
security related incidents involving operations and services are responded to, resolved and recovered
from quickly, safely and efficiently. To this end, MV management will provide leadership in promoting
safety, security and emergency preparedness throughout the organization. The general manager and
the management staff will be continually and directly involved in formulating, reviewing and revising
security and emergency preparedness policies, goals and objectives.
All of MV’semployees are governed by the requirements and terms of this plan, and must
conscientiously learn and follow prescribed security and emergency rules and procedures. Employees
shall make safety a first concern when using equipment, tools and materials.They shall be properly
trained in the work rules and procedures for their area(s) of responsibility, including contingency plans
for abnormal and emergency conditions. Each employee shall take an active part in the identification
and resolution of security concerns.
Supervisors shall actively participate in all activities regarding security and emergency preparedness;
shall fully cooperate with the policies and objectives specified in this plan; and shall receive the full
cooperation and support of executive management in their activities for improved security and
emergency preparedness.
Note: The references herein to “MV” or “MV Transportation” describe MV Transportation, Inc., to
include all its subsidiaries, joint ventures, partnerships, and affiliates.
2.2. SSEPP Program Plan Revision History
Date Revision Description of Change
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Names
This Plan must be updated annually.
2.3. Reference Documents
The following are resources used to develop the policies and procedures documented in
this SSEPP :
Title: Transit System Security Program Planning Guide
Author(s): John Balog and Anne Schwarz
Year: 1994
Sponsoring Agency: Federal Transit Administration (FTA)
Volpe Report #: DOT-VNTSC-FTA-94-01
DOT Number: FTA-MA-90-7001-94-1
NTIS Number: PB94-161973
Available: http://www.transit-safety.dot.gov
Title: Transit Security Handbook
Author(s): Annabelle Boyd and James Caton
Year: 1998
Sponsoring Agency: Federal Transit Administration (FTA)
Volpe Report #: DOT-VNTSC-FTA-98-03
DOT Number: FTA-MA-90-9007-98-1
NTIS Number: PB98-157761
Available: http://www.transit-safety.dot.gov
Title: Critical Incident Management Guidelines
Authors: Annabelle Boyd and James Caton
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Year: 1998
Sponsoring Agency: Federal Transit Administration (FTA)
Volpe Report #: DOT-VNTSC-FTA-98-05
DOT Number: FTA-MA-26-7009-98-1
Available: http://www.transit-safety.dot.gov
Title: Transit Security Procedures Guide
Author(s): John Balog and Anne Schwarz
Year: 1996
Sponsoring Agency: Federal Transit Administration (FTA)
Volpe Report #: DOT-VNTSC-FTA-94-08
DOT Number: FTA-MA-90-7001-94-2 9
Available: http://www.transit-safety.dot.gov
Title: Emergency Preparedness for Transit Terrorism
Authors: Annabelle Boyd and John P. Sullivan
Year: 1997
Sponsoring Agency: Transportation Research Board
Report Number Transit Cooperative Research Program Synthesis Number 27
Web site: http://nationalacademies.org/trb/publications/tcrp/tsyn27.pdf
Title: Perspectives on Transit Security in the 1990s: Strategies for Success
Author(s): Annabelle Boyd and Patricia Maier
Year: 1996
Sponsoring Agency: Federal Transit Administration (FTA)
Volpe Report #: DOT-VNTSC-FTA-96-02
DOT Number: FTA-MA-90-7006-96-01
NTIS Number: PB96-185871
Available: http://www.transit-safety.dot.gov
Title: Transit Security in the 90's
Author(s): Kathryn Powell and Annabelle Boyd
Year: 1996
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Sponsoring Agency: Federal Transit Administration (FTA)
Keywords: Local transit-Security measures
Volpe Report #: DOT-VNTSC-FTA-96-11
DOT Number: FTA-MA-26-9009-97-01
NTIS Number: PB97-146989
Available: http://www.transit-safety.dot.gov
Title: Protecting Surface Transportation Systems and Patrons from Terrorist Activities
– Volume One
Author: Brian Michael Jenkins
Year: January 1997
Sponsoring Agency: San Jose University, Mineta International Institute for Surface
Transportation Policy Studies
Report Number: IISTPS 97-4
Full text available at: http://www.transweb.sjsu.edu/publications/terrorism/Protect.htm
Title: Protecting Surface Transportation Systems Against Terrorism and Serious Crime
– 2001 Update
Author: Brian Michael Jenkins
Year: October 2001
Sponsoring Agency: San Jose University, Mineta International Institute for Surface
Transportation Policy Studies
Report Number: IISTPS 01-7
Full text available at: http://www.transweb.sjsu.edu/publications/terrorism/Protect.htm
Title: Improving Transit Security
Authors: Jerome A. Needle and Renee M. Cobb, J.D,
Year: 1997
Sponsoring Agency: Transportation Research Board
Report Number Transit Cooperative Research Program Synthesis Number 21
Web site: http://nationalacademies.org/trb/publications/tcrp/tsyn21.pdf
2.4. Glossary of Terms
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Emergency: A situation which is life threatening to passengers,
employees, or others, or which causes damage to any
transit vehicle or 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),
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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.
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.
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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.
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Vulnerability: Characteristics of passengers, employees, vehicles,
and/or facilities that increase the probability of a
security breach.
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Section 3. Introduction
3.1. Background
Vulnerabilities of public agencies, and the communities they serve, to acts of terrorism and extreme
violence have increased over time. Threat assessments issued by the Federal Bureau of Investigation
(FBI) have consistently placed public transportation at the top of the critical infrastructure protection
agenda, along with airports, nuclear power plants, and major utility exchanges on the national power
grid.
To establish the importance of security and emergency preparedness in all aspects of our organization,
MV has developed this System Security and Emergency Preparedness (SSEPP) Plan. This SSEPP outlines
the process to be used by MV to make informed decisions that are appropriate for our operations,
passengers, employees and communities regarding the development and implementation of a
comprehensive security and emergency preparedness plan.
As a result of this plan, MV hopes to achieve not only an effective physical security program, but also to
enhance coordination with the local public safety agencies. Better communication will increase
awareness of MV’s resources and capabilities, and improve the company’s readiness to support efforts
to manage community-wide emergencies.
In order to be effective, the activities documented in this SSEPP focus on establishing responsibilities for
security and emergency preparedness, identifying our methodology for documenting and analyzing
potential security and emergency preparedness issues, and developing the management system through
which it can track and monitor progress in resolving these issues.
3.2. Authority
The authority for implementing the SSEPP resides with MV Transportation’s CEO and/or COO, MV
employees, and the client.
This SSEPP has been developed in cooperation with the United States Department of Transportation’s
Federal Transit Administration (FTA) and the FTA’sSystem Security and Emergency Preparedness
Training and Technical Assistance Program. This Program supports efforts to address requests from the
Department of Homeland Security and the administrator of the FTA to review the current levels of
protection and to integrate security and emergency preparedness more fully into MV’s operations.
3.3. Purpose, Goals and Objectives of SSEPP
This plan demonstrates the process for addressing system security and emergency preparedness:
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.
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Emergency Preparedness – A uniform basis for operating policies and procedures for mobilizing transit
agency and other public safety resources to assure rapid, controlled, and predictable responses to
various types of transit and community emergencies.
The SSEPP will support MV’sefforts to address and resolve critical incidents on its property and within
its community.
Critical Incidents – may include accidents, natural disasters, crimes, terrorism, sabotage, civil unrest,
hazardous materials spills and other events that require emergency response. Critical incidents require
swift, decisive action from multiple organizations, often under stressful conditions. Critical incidents
must be stabilized prior to the resumption of regular service or activities.
Critical incidents often result from emergencies and disasters, but can be caused by any number of
circumstances or events. Successful resolution of critical incidents requires the cooperative efforts of
both public transportation and community emergency planning and public safety agencies.
MV has established criteria for a critical incident:
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
3.3.1Purpose
The purpose of the SSEPP is to establish formal mechanisms to be used by all MV employees, and
contractors in all departments to:
Identify hazards associated with MV Transportation systems.
Eliminate, minimize or control these hazards.
Coordinate and establish system safety throughout the company.
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Provide a leadership safety document that is fluid and changing with our
operating environments.
The SSEPP will be used as a means of preventing injuries, accidents and other losses. It demonstrates
MV’s commitment to safety and compliance through loss prevention programs. The plan is consistent
with federal, state and local regulations, and assures that industry standards are maintained in
accordance with the SSEPP standards of the American Public Transportation Association (APTA) and the
Federal Transit Administration (FTA).
3.3.2Goals
The overall goal of MV’s SSEPP is to establish the highest reasonable level of security that can be
afforded to all passengers, contractors, employees, equipment and facilities. Specific goals of the SSEPP
are as follows:
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.
3.3.3Objectives
Although every threat cannot be identified and resolved, MV can take steps to improve awareness, to
better protect passengers, employees, facilities and equipment, and to stand ready to support
community needs in response to a major event. To this end, the SSEPP has the following objectives:
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.
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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.
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.
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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’s SSEPP is applicable to all aspects of our current service, ensuring that our operations, training,
coordination with local public safety agencies, and general security and emergency preparedness
planning address concerns resulting from heightened threat levels. Key elements of theSSEPP include:
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.
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Section 4. Transit System Description
4.1. Organizational Structure
The following individuals are responsible for leading security initiatives in the company and for
placement within the organization to support the security and emergency preparedness structure of MV
Transportation, Inc.; including all employees, volunteers, and subcontractors:
CEO
COO
Group Presidents
Vice President
Maintenance Vice President of Safety & Training
Directors of Safety
Safety Manager
Managers
Location Safety
Committees (LSC)
4.2. Operating Characteristics and Service
4.2.1Service Area
MV operates transportation services in many communities across the nation for transit authorities,
cities, counties, state agencies, private parties, and any other entities that desire high quality, cost
effective transportation services. MV has become one of the largest transportation management firms
in the United States.
4.2.2Service Design
MV provides the following types of services:
Fixed Route
Paratransit
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Shuttle Services (corporate and airport)
Demand Response
Route Deviation
Checkpoint Service
Zone Service
Vanpools
4.3. Services and Facilities
MV has been providing transit services since its inception in 1975; and has grown into one of the largest
transportation contracting firms in the United States. The company is a professional and innovative
contractor who supplies top quality, safe, and reliable transit service toour clients at a reasonable price.
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
Typical Modes of Service: Demand Response and fixed route
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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
4.4.1Methodology to Achieve SSEPP Goals
The methodology used in achieving SSEPP goals and objectives involves having all of MV’s personnel
take into consideration the safety implications of their decisions and actions. It uses a proactive
approach that stresses looking at systems and proposed modifications to these systems from a safety
perspective before losses occur.
The SSEPP attempts to accomplish this through the following five steps:
1. Gaining an understanding of system functions and the interrelationships among
them.
2. Identifying the critical elements and steps necessary to ensure that existing or
planned systems achieve the desired level of safety.
3. Establishing a process in which management controls are used to ensure these
safety critical elements and steps are consistently carried out.
4. Monitoring systems to ensure compliance with these requirements.
5. Improving the process by reviewing the effectiveness of management controls
in achieving the desired level of safety, and modifying safety critical elements
and steps on a continuing basis.
While these five steps describe the methodology of the SSEPP, they also can be used at any level of the
organization as a means of maximizing the safety of all systems. The safety committee has a role in
executing the functions necessary to carry out this methodology, as do all departments and divisions.
Specific safety-related tasks of the safety committee are as follows:
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.
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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.
4.5. Hazard Identification and Resolution Process (MIL -
882D)
The process of identifying and resolving hazards in the system is based on the FTA and APTA’s
adaptation of U.S. Military Standard MIL-882D. It involves three stages: hazard identification, hazard
assessment and hazard resolution. A description of this process follows:
4.5.1Hazard Identification
Hazard identification is a process whereby an attempt is made to discover conditions in the system
which, if not altered have the potential to cause accidents, injuries or other losses. All employees are
charged with the responsibility of identifying and reporting conditions that have the potential to cause
accidents, injuries or other losses. These conditions may be found in the form of physical hazards,
unsafe actions, and policies that create or fail to recognize hazards. There also may be certain
employees who, through periodic field observations, review of incident and complaint data, and
performance and complaint records, are identified as needing special counseling, retraining or re-
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.
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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.
4.5.2Hazard 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.
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,
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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.
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Unlikely to occur, but possible in the
fleet/inventory.
4.5.3Risk 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
After the risks are assessed, a plan is developed for resolution. There are essentially four choices in the
hazard resolution process, as shown in the Hazard Resolution Table below.
Hazard Resolution Table
Severity / Frequency Resolution
1/A | 1/B | 1/C | 2/A | 2/B | 3/A
|
Unacceptable - correction required.
1/D | 2/C | 2/D | 3/B | 3/C |Unacceptable - correction may be required
after review by General Manager.
1/E | 2/E | 3/D | 3/E | 4/A | 4/B
|
Acceptable - with review by Project Manager
4/C | 4/D | 4/E |Acceptable - without review.
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The following hierarchy is used to eliminate or control hazards in the system:
Design for Minimum Risk. Provisions are made in all designs for the identification and elimination of
hazards through appropriate safety design concepts, such as fail-safe designs and redundancy. If the
identified hazards cannot be eliminated, they are controlled through reducing the risk to an acceptable
level.
Use of Safety Devices. Hazards that cannot be eliminated through design selection are reduced to an
acceptable level of risk through the use of fixed, automatic, or other protective safety design features or
devices. The design provides for periodic functional checks of safety devices.
Use of Warning Devices. When neither design nor safety devices can effectively control an identified
hazard, devices are used to provide timely detection of the hazard and to generate adequate warning
signals. The application of these devices shall be designed to minimize the probability of incorrect
reaction to the warning by employees or other individuals.
Provide Special Procedures. Where it is impossible to eliminate or adequately control hazards through
design, safety devices or use of warning devices, procedures and training are used to control the hazard.
Precautionary notation is standardized and safety-critical tasks require certification through completion
of MV-approved training courses.
4.6. Follow-Up
Follow-up of implemented resolutions is the responsibility of both the safety department, and the
involved department(s). Two primary methods are used:
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.
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Section 5. SSEPP Program Roles and
Responsibilities
5.1. Philosophy
MV hopes to ensure that, if confronted with a security event or major emergency, personnel will
respond effectively, using good judgment, ensuring due diligence, and building on best practices,
identified in drills, training, rules and procedures.
This level of proficiency requires the establishment of formal mechanisms to be used by all personnel to
identify security threats and vulnerabilities associated with MV Transportation operations, and to
develop controls to eliminate or minimize them. SSEPP also requires MV Transportation process for:
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
5.2.1All 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.
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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.
Accurately completing “employee statements” on appropriate reports.
5.2.2Senior 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:
―Implementation of standard localized operating procedures
related to employee security duties.
―Enforcement of company safety and security regulations at their
division.
―Implementation of emergency operating procedures to maximize
transit response effectiveness and minimizing system
interruptions during emergencies and security incidents.
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―Provision of proper training and equipment to division employees
to allow an effective response to security incidents and
emergencies.
―Ensuring all employees receive security awareness training.
―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).
5.2.3SSEPP 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.
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.
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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.
5.2.4Location 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
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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.
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.
The LSC also ensures that all agency employees, and contractors:
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.
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5.2.5Supervisors
Supervisors are responsible for communicating the transit agency’s security policies to all employees,
and contractors. For this reason, supervisors must have full knowledge of all security rules and policies.
Supervisors must communicate those policies to MV operations personnel in a manner that encourages
them to incorporate SSEPP practices into their everyday work. The specific responsibilities of
supervisors include the following:
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.
In addition, when responding to an incident, supervisors are expected to:
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.
Complete necessary security related reports.
Take photographs of damage and injuries.
Coordinate with all outside agencies at incident scenes.
5.2.6Bus Operators
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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.
5.2.7Other 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.
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Provide direction to on-scene personnel.
Mechanics (including contractors) are expected to:
Report vandalism.
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.
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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.
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
System Security Tasks GM POC Safety
Committee
Ops &
Maint.
Supervisor Dispatch Frequency
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Emergency Preparedness
5.4. Existing SSEPP Capabilities and Practices
A summary of the existing proactive methods, procedures, and actions to prevent, deter, or minimize
security incidents include:
Emphasis on agency personnel awareness.
Participation in security awareness training.
Host annual meeting with local law enforcement.
Annual meeting with local emergency management agency.
Analysis of security incidences and suspicious activity to determine a
proper course of action including:
―Identifying potential and existing problem areas.
―Developing action plans.
―Implementing the plans.
―Measuring results.
Conduct criminal
background investigatgions
of employment applicants
X
Conduct facility walk around
inspections
X X X
Check division security
equipment such as cameras,
fences, gates, lighting, etc.
X
Check and challenge unkn
own personnel on property
X
Emergency Preparedness GM POC Safety
Committee
Ops &
Maint.
Supervisor Dispatch Frequency
Meet and look at security /
emergency plan
X Quart.
Conduct division security /
Emergency awareness drill
X X Y, AR
Update and maintain
emergency response plan
X X
Check emergency
preparedness inventory
items
X X X
Investigate any suspicious
activities or unusual events
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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.
A summary of other existing proactive actions and systems to prevent, deter or minimize security
incidences includes:
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
The division should formulate SSEPP training and exercising plan, taking into account the considerations
identified below:
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.
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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
5.6. Coordination with Local Public Safety Agencies
Identify (by name and contact number) the local law enforcement, fire services, emergency medical
services, and emergency planning agencies within the transit agency’s service area
To support improved emergency and incident preparedness and response, MV Transportation, Inc. will
participate in, at a minimum, one exercise or drill with local public safety organizations in order to:
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 (by name and contact number) transit agencies or other contract providers within your county
or neighboring counties that may need to be contacted in the event of a critical incident.
Security Incident Recording
The safety manager records all criminal activity that takes place on the system. Much of what the
agency records is also reported to the National Transit Database (NTD) on a periodic basis. The NTD’s
guidelines for what activities to report and when are found at
http://www.ntdprogram.gov/ntdprogram/safety.htm. The safety manager completes a
standardized report that identifies all significant security incidents involving transit agency staff,
contractors, patrons, equipment or facilities. This standardized form including the crime results from the
previous calendar year is shown on the Reported Transit Crimes form below.
Reported Transit Crimes
Security Incident Number of Occurrences
Bomb threat 0
Bombing 0
Terrorism-related
incidents
Chemical/biological/radiological/nuclear (CBRN)
release
0
Other system security
incidents
Arson 0
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Security Incident Number of Occurrences
Sabotage 0
Hijacking 0
Cyber security event 0
Aggravated assault 0
Burglary 0
Fare evasion1 0
Forcible rape 0
Larceny/theft 0
Homicide 0
Motor vehicle theft 0
Robbery 0
Suicide 0
Trespassing1 0
Other personal
incidents
Vandalism1 0
5.8. Security Incidents Trend Analysis
MV has developed internal metrics to facilitate trend analysis. The results of the analysis can assist the
division in allocating resources and supporting security enhancements and fixed site improvements.
Using the annual standardized form, the safety manager records all significant security incidents on a
year-by-year basis to identify trends in criminal activity. The results of the analysis are contained in
Transit Crime Trends form below.
1Report only those incidents that result in arrests.
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Transit Crime Trends
Number of Occurrences
Security Incident
2019 2020 2021
Percentage
Change
Bomb threat 0 0 0
Bombing 0 0 0
Terrorism-
related
incidents
CBRN release 0 0 0
Arson 0 0 1
Sabotage 0 0 0
Hijacking 0 0 0
Other system
security
incidents
Cyber security 0 0 0
Aggravated
assault
0 0 0
Burglary 0 0 0
Fare evasion1 0 0 0
Forcible rape 0 0 0
Larceny/theft 0 0 0
Homicide 0 0 0
Vehicle theft 0 0 0
Robbery 0 0 0
Suicide 0 0 0
Trespassing2 0 0 0
Other
personal
incidents
Vandalism2
2Report only those incidents that result in arrests.
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5.8.1Facility 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 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
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Closed-circuit TV (CCTV)
Card or controlled access X
Public address systems
5.8.2Vehicle 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 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
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5.8.3Management 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
This SSEPP includes internal security practices and procedures that are adhered to by all employees and
contractors. Specific components deal with the personnel hiring and termination process, personnel
identification and access control, and security awareness. Most requirements are directed toward the
agency’s employees and its contractor staff; however, some of these requirements apply to
subcontractors, vendors, building tenants, visitors and patrons. The Security Procedures form below
identifies which security procedures MV has in place.
Security Procedures
Security Procedures Security Procedures
Exist?Source Document
Background investigation3 X
Badging and uniforms3 X
Communication with passengers X
Identifying suspicious behavior X
Passenger and baggage screening4
Safe mail package handling
3Refer to TSA guidance document titled “Additional Guidance 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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Sensitive security information
Security procurement language checklist
Termination
Trash container procurement and
placement
Unattended items
Vehicle security sweeps
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.
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Section 6. Threat and Vulnerability Resolution
Process
6.1. Threat, Vulnerability and Consequence
Identification and Resoulution
The inherently open nature of transit systems can be exploited by criminals, terrorists or other
adversaries to commit crimes, acts of violence and other malicious and destructive acts. The greatest
vulnerability and challenge faced by most transit systems with regard to security is how to maintain an
open and inviting environment that is easily accessible to all members of the public while concurrently
maintaining a level of security that prevents or minimizes, to the greatest extent possible, the
occurrence of such acts throughout the system. Key steps to prevent, minimize and prepare for criminal
and/or terrorist acts within or directed toward the agency’s operations and services are designed to do
the following:
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
Threat and vulnerability assessment offers MV the ability to identify critical assets and their
vulnerabilities to threats, to develop and implement countermeasures, and to monitor and improve
program effectiveness. This analysis is guided by clear investigation of three critical questions:
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?
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The primary method used by MV to identify the threats to the transit system and the vulnerabilities of
the system is the collection of incident reports submitted by drivers and supervisors and information
provided by local law enforcement and contractors.
Information resources include the following:
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.
―Crimes against persons.
―Crimes against property.
―General incidents.
Disposition of incidents (same as disposition of call for service).
The safety manager will review security information resources and determine if additional methods
should be used to identify system threats and vulnerabilities such as a formal evaluation of the program
to ensure that security procedures are maintained and that security systems are operable.
Security testing and inspections may be conducted to assess the vulnerability of the transit system.
Testing and inspection includes the following three-phase approach:
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.
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System effectiveness: To evaluate security by employing security system
exercises.
6.3. Threat and Vulnerability Assessment
The threats which are most likely to occur include the following disruptive incidents:
Drunkenness.
Disorderly conduct.
Disputes.
Minor assaults.
Vandalism.
Inclement weather.
Other potential occurrences include:
Fare evasion.
Loud radios/behavior.
Smoking.
Littering.
Eating/drinking.
Using the table below, the safety manager can make an assessment concerning how susceptible each
system element of MV is to each listed threat.
The safety manager uses a scale of 1 to 4 for ranking each system element’s vulnerability, one being the
lowest (or not vulnerable), to four being the most vulnerable.
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
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When considering threat and vulnerability resolutions and the prevention of incidents,the safety
manager will review current methods to determine if additional means can be identified to address
security risks through three possible alternative approaches:
Eliminate.
Mitigate.
Accept.
Each approach will be investigated by the safety manager to determine and develop a course of action
acceptable by MV’s management.
6.4. All Hazards Threat and Vulnerability Identification
and Analysis
Threat analysis is a process that enables transit systems to “define the level or degree of the threats
against a facility by evaluating the intent, motivation, and possible tactics of those who may carry them
out.” Vulnerability analysis is described by the FTA as a process that can be used by transit systems to
identify “specific weaknesses with respect to how they may invite and permit a threat to be
accomplished.”
Through these forms of analysis, transit systems are able to better identify and evaluate the security-
related risks that exist not only within their systems, but also within the operating environments and
surrounding communities through which their services are provided. This can be a complex process that
may require the involvement of outside parties, including local, state or federal law enforcement and
emergency response agency representatives, and/or security experts.
The analysis process involves gathering and evaluating relevant information, including but not limited to
the following:
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.
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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
7.1.1Internal
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 1st.
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Section 8. Threat Levels and Alerts
MV recognizes the threat condition designations as defined by the Homeland Security Presidential
Directive-3, which pertain primarily to federal departments and agencies. MV’s role and application of
the federal threat models are identified herein and will be dependent upon the nature and extent of the
security threats to both the transit operating system and the nation as a whole. MV’s preparedness and
response actions for each threat condition designation have been developed in accordance with FTA’s
recommended protective measures. Additionally, MV keeps current of the federal threat level in
addition to regularly receiving and monitoring alerts distributed by other organizations, including the
FBI.
8.1. Homeland Security Advisory
System (HSAS) for Transit
The FTA, through its Transit Agency Security and Emergency
Management Protective Measures guidance document (November
2006) provides a set of suggested protective measures and a
systematic approach for its application to enhance transit security and
emergency management. The protectivemeasures align with the
color-coded threat conditions used in the DHS Homeland Security
Advisory System (HSAS). HSAS for Transit consists of five threat level
designations: Low (green), Guarded (blue), Elevated (yellow), High
(orange) and Severe (red).
In addition, the FTA provides two (2) additional threat levels and
associated protective measures. They are the active incident (an
actual emergency, which might include a terrorist attack, accident or
natural disaster) and the recovery phase following an incident. MV
uses the HSAS for Transit as a guide for its own preparation and response to threat conditions.
8.1.1Low 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.
HSAS
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Refining and exercising as appropriate preplanned protective measures.
Ensuring that personnel receive proper training on the Homeland
Security Advisory System.
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.
8.1.2Guarded 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.
8.1.3Elevated Condition (Yellow)
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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.
8.1.4High Condition (Orange)
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.
8.1.5Severe Condition (Red)
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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.
8.1.6Active 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.
8.1.7Recovery Phase
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
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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
MV regularly monitors, examines and evaluates the security alerts distributed by the FBI. These alerts
help identify current security issues and threats affecting the nation as a whole. MV distributes the list
to selected individuals of the agency. Any questions or concerns relating to the FBI security alerts should
be addressed directly to the local field office of the FBI.
Address:_8002 Kew Gardens Rd Kew Gardens, NY 11415 (718)286-7100
8.3. Public Transit- Information Sharing and Analysis
Center (PT-ISAC)
MV regularly reviews information disseminated by the PT-ISAC. In January 2003, the U.S. Department of
Transportation designated the American Public Transportation Association (APTA) as the sector
coordinator in the creation of a Public Transit ISAC to further promote security for the public
transportation industry. Through this role, APTA serves as the primary contact to organize and bring the
public transportation community together to work cooperatively on physical and cyber-security issues.
The PT-ISAC collects, analyzes, and distributes critical cyber and physical security and threat information
from government and numerous other sources. These sources include law enforcement, government
operations centers, the intelligence community, the U.S. military, academia, IT vendors, the
International Computer Emergency Response Team (CERT) and others. The PT-ISAC is full-service,
responding to incidents and warnings on a 24-hour basis, seven days a week. Any questions concerning
the service should be directed to:
PT-ISAC
1-866-PT-ISAC-1 (784-7221)
www.surfacetransportationisac.org
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8.4. Homeland Security Information Network – Public
Transit (HSIN-PT)
MVregularly reviews information disseminated by TSA through DHS’s HSIN-PT. HSIN-PT is a security
information sharing resource for the public transit community to share unclassified security and threat
information and establish relationships and network with both private and public transportation security
officials. HSIN-PT provides the transit security community a “one-stop shop” to aid in its efforts to
maintain vigilance and readiness to prevent terrorism in the mass transit and passenger rail
environment. TSA also uses its emergency notification system, called TSAalerts, sometimes in
conjunction with HSIN-PT, to advise transit agencies of significant threats or terrorist attacks.
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Section 9. Appendices
9.1. Appendix A Vehicle Safety Program Implications
Vehicle Safety Program Plan
Section Title
Covered Policies And Procedures Additional Issues In SSEPP
Program
1 Management
Commitment safety policy statement
memorandum authorizing system
security and emergency
preparedness (SSEPP)
2 Compliance
Responsibilities
general manager
drivers, mechanics and others
operating agency vehicles
safety incentive program(s)
expanded to address SSEPP
creation of SSEPPpoint of contact
(POC)
Drivers – Initial Hire qualifications
initial training
commitment to address
SSEPPissues in hiring
3
Qualifications
application
interviews
physical requirements
age
knowledge of English
driver licensing
operating skills
criminal /dmv records check
ability to perform simple math
reasonable knowledge of the service
area and ability to read basic maps
a road test given by a designated mv
supervisor is required
expansion of new hire background
check
expansion of new hire application
process to emphasize the
importance of safety, security and
emergency procedures
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Vehicle Safety Program Plan
Section Title
Covered Policies And Procedures Additional Issues In SSEPP
Program
Initital Training
agency policies and procedures
federal and state guidelines and
regulations
pre and post trip inspections
vehicle familiarization
basic operations and maneuvering
special driving conditions
backing
bad weather
boarding and alighting passengers
defensive driving course (LLLC)
passenger assistance training
training on road
additional training to address
security awareness, reporting
suspicious activity, reports and
documentation, and pre and post
trip inspections
4
Drivers – Ongoing
Supervision And
Training
training – refresher/retraining
evaluation and supervision
motor vehicle record checks
annual physical examination
safety meetings
discipline/recognition
preventable accidents/injuries
additional refersher training for
knowledge of emergency
procedures
additional responsiblities for
supervision
5 Emergency Driving
Procedures
emergency driving procedures
accident causes
slippery road surfaces
driving with poor visibility
driving through water
vehicle breakdowns and unavoidable
stops
vehicle fire/evacuation
hold up/robbery
natural disasters
tornado
flood
expansion of emergency
procedures to include additional
security and emergency
conditions
expansion of emergency
procedures to include support of
community response to a major
event or emergency
emergency training and exercising
6 Passenger Safety
general guidelines
mobility device securement and
passenger restraint systems
expansion of procedures for
managing difficult passengers
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Vehicle Safety Program Plan
Section Title
Covered Policies And Procedures Additional Issues In SSEPP
Program
difficult passengers
medical condition
bloodborne pathogens/infection
control
clarifications regarding first aid
and bloodborne
pathogens/infection control
7 Vehicles &
Equipment
vehicles & equipment
preventive maintenance
program development
preventive maintenance program
format for preventive maintenance
program for transit vehicles
master vehicle service and repair
record – maintenance history
preventive maintenance intervals
pre & post trip inspections
emergency equipment on vehicles and
usage
use of emergency equipment on
vehicles
vehicle security
vehicle safety in and around the shop
or yard
expansion of vehicle security
procedures
expansion of maintenance
procedures for identifying and
reporting vandalism, suspicious
substances, or vehicle tampering
8 Accident
Management
accident documentation packet
accident notification procedures –
driver responsibility
accident investigation – management
responsibility
accident investigation kit
reconstruction & analysis
drug and alcohol tests
additional tools for accident
document packet to address
security
9
Insurance Claims
and Litigation
Management
VTLP
10
Day-To-Day
Operations –
Monitoring For
Safety
record keeping additional reports for security-
related incidents
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9.2. AppendixB: Security Baseline Planning Worksheet
SECURITY BASELINE
PLANNING WORKSHEET
Yes No Notes
Has management accepted responsibility for the
management of security vulnerabilities during the start-up
and operation of the transit system?
X
Has management endorsed a policy to ensure that security
vulnerabilities are identified, communicated, and resolved (or
accepted) through a process that promotes accountability for
decision-making?
L
Does your division have clear and unambiguous lines of
authority and responsibility for ensuring that security is
addressed at all organizational levels within the operation
(including contractors)?
X
Does your division have access to personnel with security
management experience, knowledge, skills, and abilities?
X
Does your division ensure that resources are effectively
allocated to address security considerations?
X
Is the protection of passengers, employees, contractors,
emergency responders, and the general public a priority
whenever activities are planned and performed at the
division ?
Does your division routinely evaluate its capabilities to
provide adequate assurance that the public and employees
are protected from adverse consequences?
Has your division committed to developing security
mitigation measures to prevent and manage security
vulnerabilities?
Has your division appropriately documented its security
measures in plans, procedures, training, and in project
requirements, specifications and contracts?
Does your division have a formal system security program,
documented in a system security program plan.
If “yes,” is the security plan current, reflecting current
security operations and system configuration?
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SECURITY BASELINE
PLANNING WORKSHEET
Yes No Notes
If “no,” does your division have plans in place to develop a
security plan?
If “no,” prepare a brief list of all activities performed at your
division that address security concerns (for example, include
facility access control; procedures for handling difficult
people; workplace violence program; bomb threat
management plan; procedures for identifying and reporting
suspicious activity; facility and vehicle evacuation and search
procedures; coordination with local law enforcement, etc.)
Whenever possible, does your division guidedesign,
engineering, and procurement activity with an agreed-upon
set of security standards and requirements (including design
criteria manuals, vehicle specifications, and contracting
guidelines)?
GENERAL EMERGENCY RESPONSE CAPABILITIES Yes No Notes
Does your division have an emergency plan?
Does your division have emergency operating procedures?
Does your division have an incident response plan for
terrorism, as an appendix to the emergency plan or as a
separate plan?
Does your divisioncoordinate with local public safety
organizations on the development, implementation and
review of the emergency plan and procedures?
Does your emergency plan specify use of the incident
command system?
Have your employees been trained in the emergency plan
and procedures?
Does your division conduct routine drills, table-tops and
refresher training?
Does your divisioncoordinate its drilling and training for
emergency response with local public safety organizations?
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Does your division conduct briefings of after-action reports to
assess performance during the drill or exercise and identify
areas in need of improvement?
Have members of your divisionparticipated in domestic
preparedness training programs?
PREVIOUS EXPERIENCE Yes No Notes
Has your divisionexperienced an emergency in the last 12
months?
If” yes,” were you satisfied with the division’s level of
response?
Has your divisionreceived a bomb threat in the last 12
months?
Has your division evacuated in its facilities in the last 12
months as the result of a bomb threats?
Has your division conducted a physical search of a facility in
response to a bomb threat?
Points of Emphasis
Awareness - Train all security and maintenance personnel to spot suspicious-looking or unfamiliar
people or objects.
Communication - Teach employees and/or tenants the importance of awareness; encourage them to
identify and report anything that appears out-of-the-ordinary.
Screening - Develop and implement systems for identifying and controlling visitor access to the building.
Inspection - Establish strict procedures for the control and inspection of packages and materials
delivered to the building, particularly those intended for critical areas.
Procedures - Instruct all personnel, particularly telephone switchboard or reception personnel, on what
to do if a bomb threat is received.
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Surveillance - Instruct security and maintenance personnel to routinely check unattended public or open
areas, such as rest rooms, stairways, parking garages and elevators.
Lighting - Make sure that all of the facility's access points are well-lit.
Systems Awareness - Unexpected interruptions in the building's fire or security systems may not be
coincidental; train personnel to identify and address them immediately.
Local Authorities - Contact local government agencies to determine their procedures for dealing with
bomb threats, search, removal and disposal.
Contingency - Assure adequate protection and off-site backup for classified documents, proprietary
information, critical records and activities essential to the operation of business.
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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.
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Contingencyplans for loss of electrical power and radio or phone
communications.
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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:
―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.
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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.
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9.4. Appendix D: Bomb Threat Checklist and
Procedures
Bomb Threat Checklist
Exact time and date of call:
Exact words of caller:
Voice Accent Manner Background Noise
Loud Local Calm Factory Machines
High Pitched Foreign Rational Bedlam
Raspy Race Coherent Music
Intoxicated Not Local Deliberate Office Machines
Soft Region Righteous Mixed
Deep Local Angry Street Traffic
Pleasant Foreign Irrational Trains
Other Race Incoherent Animals
Raspy Not Local Emotional Quiet
High Pitched Region Laughing Voices
Loud Airplanes
Party Atmosphere
Language Speech Familiarity with Threatened Facility
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
When is the bomb going to explode?
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Where is the bomb?
What does it look like?
What kind of bomb is it?
What will cause it to explode?
Did you place the bomb?
Why did you place the bomb?
Where are you calling from?
What is your address?
What is your name?
Observations
If the voice is familiar, whom did it sound like?
Were there any background noises?
Telephone number call received at.
Person receiving call.
Any additional remarks.
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
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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 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:
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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.
Bomb threats are normally transmitted by phone. The person receiving the call should be prepared to
obtain precise information, 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.
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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?
The caller may provide specific information by answering these questions. Often the type of person
making a threat of this nature becomes so involved that they will answer questions impulsively. Any
additional information obtained will be helpful to police and explosive technicians. To assist the person
receiving the call, it is suggested a printed form be readily available. A sample is provided in Appendix D.
Typically, this checklist is kept readily available to the transit dispatcher or administrative personnel
most likely to receive such a threat.
Written and letter/package threats should be treated as “suspicious objects” (see Step 4).
Step 2: Threat Evaluation
Two basic descriptions of threats can be identified:
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:
Notify law enforcement (whether internal transit police and/or security
or local law enforcement).
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Notify management personnel.
Initiate the search procedure.
Search before evacuation of personnel (employee search).
Search after evacuation of personnel (volunteer search).
Notification to internal and/or external law enforcement, security and management personnel should
be prompt, and include as much detail as possible. The person who received the threatening call should
be available immediately for interviewing. Copies of the completed threat checklist should be readily
available to all who may need it.
The appropriate search procedure should be initiated. Searches in the transit environment – as in many
other environments – have two major constraints:
Radio communication cannot be used (it may detonate the device).
The environment is specialized, therefore, it cannot be searched
effectively by outsiders.
To address these concerns, personnel who work in a particular area, or who are responsible for an area,
should be used. Not only will these personnel provide a much more thorough search than outside
responders, but they are knowledgeable concerning station or facility emergency communication
systems, and can access “land line” telephones to manage communications more effectively during the
search. A system that utilizes the employees – after evacuations have been ordered -- should always
and only use volunteers.
The following criteria help determine what immediate action to take:
Factors favoring a search before the movement of personnel (occupant
search):
―There is a high incidence of hoax telephone threats.
―Effective security arrangements have been established.
―Information in the warning is imprecise or incorrect.
―The caller sounded intoxicated, amused, or very young.
―The prevailing threat of terrorist activity is low.
Factors favoring movement of personnel before searching (volunteer
search):
―The area is comparatively open.
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―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.
―A prevailing threat of terrorist activity is high.
Step 3: Search Procedure
Pre-planning and coordination of employees are essential in implementing an effective search of transit
premises, particularly for large stations and facilities. A central control mechanism is necessary to
ensure a thorough and complete response. A printed station and/or facility schematic should be
identified for each major transit facility. Wherever possible, stations should be divided into zones or
sections (prior to the actual conduct of the search), and volunteer personnel – familiar with the zone or
section – identified to support the search, by shift or position. Back-ups and supporting volunteers
should also be identified for each zone or segment. A compendium of station/facility schematics should
be available to those responsible for managing bomb threats and searches. Not only will these
schematics support identification and assembly of the volunteer search team, but also, as the search is
conducted, each area can be “crossed off” the plan as it is searched.
Areas that are accessible to the public require special attention during a search, and may be vitally
important if an evacuation is to be conducted. The level of the search should be commiserating with the
perceived threat level:
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.
During the search procedure the question often arises, "What am I looking for?" The basic rule is: Look
for something that does not belong, or is out of the ordinary, or out of place. Conduct the search
quickly, yet thoroughly, keeping the search time to a maximum of 15 to 20 minutes. Both the interior
and exterior of the station or facility should be searched.
Historically, the following areas have been used to conceal explosive or hoax devices in the transit
environment:
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Outside Station Areas Inside Stations
Trash cans
Dumpsters
Mailboxes
Bushes
Street drainage systems
Storage areas
Parked cars
Shrubbery
Newspaper Stands
Ceilings with removable panels
Overhead nooks
Areas behind artwork, sculptures and benches
Recently repaired/patched segments of walls, floors, or
ceilings
Elevator shafts
Restrooms
Behind access doors
In crawl spaces
Behind electrical fixtures
In storage areas and utility rooms
Trash receptacles
Mail rooms
Fire hose racks
Depending on the nature of the threat, searches may expand to include transit vehicles. In extremely
rare instances, dispatchers have instructed operators on certain bus routes or rail lines to immediately
bring their vehicles to a safe location, deboard passengers, and walk-through the vehicle – looking for
unidentified packages. In other instances, evacuated vehicles have been met by law enforcement
officers, who actually conduct the search, including the vehicle undercarriage and rooftop areas.
Step 4: Locating an Unidentified Suspicious Package
If an unidentified or suspicious object is found, all personnel should be instructed (1) not to move it and
(2) to report it to central dispatch or the search team leader immediately. The following information is
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.
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Based on this information, decisions will be made regarding the following:
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.
While volunteers and public safety personnel are conducting the search, and particularly while they are
managing response to a suspicious package, they should keep in mind the following information:
Improvised explosive devices (IEDs) and other types of bombs inflict
casualties in a variety of ways, including the following:
―Blast over pressure (a crushing action on vital components of the
body, eardrums are the most vulnerable).
―Falling structural material.
―Flying debris (especially glass).
―Asphyxiation (lack of oxygen).
―Sudden body translation against rigid barriers or objects (being
picked up and thrown by a pressure wave).
―Bomb fragments.
―Burns from incendiary devices or fires resulting from blast
damage.
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―Inhalation of toxic fumes resulting from fires.
The following are four general rules to follow to avoid injury from an IED:
1. Move as far from a suspicious object as possible without being in further danger from
other hazards such as traffic or secondary sources of explosion.
2. Stay out of the object's line-of-sight, thereby reducing the hazard of injury because of
direct fragmentation.
3. Keep away from glass windows or other materials that could become flying debris.
4. Remain alert for additional or secondary explosive devices in the immediate area,
especially if the existence of a bomb-threat evacuation assembly area has been highly
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:
―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.
―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.
Step 5: Evacuation Procedure
If an unidentified object is found, a quiet and systematic evacuation from the area should be conducted.
Prior to evacuation, all areas used in the evacuation route must be searched: stairwells, corridors,
elevators, and doorways. When these areas have been checked, volunteer personnel should be
assigned to direct other personnel along the searched exit routes.
As a general guideline, evacuation should be to a minimum distance of 300 feet in all directions from the
suspicious package, including the area above and below the site, giving regard to the type of building
construction (thin walls, glass) and the size of the suspicious package. Elevators should not be used to
evacuate people under normal circumstances. A power failure could leave them trapped in a hazardous
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area. Attention should be paid to the need for special transportation requirements of persons with
disabilities.
The essential task in evacuation procedures is to direct people to quietly leave the premises, using tact
and power of suggestion, in an effort to maintain control and avoid panic. Once a complete or partial
evacuation has taken place, there must be some form of accounting for all personnel. This may be a
difficult task, but a necessary one to ensure the safety of all personnel.
Assembly areas should be pre-selected and well known to personnel. Establish a clearly defined
procedure for controlling, marshalling, and checking personnel within the assembly area. If possible, for
major transit stations, assembly areas should be coordinated with local police in advance. Assembly
areas are selected using the following criteria:
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
Re-occupation of the building is a decision that must be made by an appropriate transit agency or law
enforcement official. If the evacuation was made without a search, the premises should be searched
before re-occupation.
Step 7: Training
Any effective threat procedure must be accompanied with an adequate training program. Training the
essential personnel should encompass both the preventative and operational aspects of the procedure.
Prevention can be accomplished through employee awareness, developing good housekeeping habits,
and being on the alert for suspicious items and persons.
Operational training may include lectures by transit police and security instructional staff or guest
speakers, in-service training classes, and practical training exercises. Evacuation and search drills should
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be performed periodically under the supervision of transit police or local law enforcement. Coordination
with local law enforcement is particularly important for those small agencies with no internal security.
Conclusion
Considering recent events, it is advisable to consider all threats serious. A well-prepared and rehearsed
plan will ensure an effective, quick search with minimal disruption of normal operation. Panic and
possible tragedy can be avoided. Appropriate security, heightened employee and passenger awareness,
and good housekeeping controls will identify many potential problems.
9.5. Appendix E: Types of Preparation Exercises
Experience shows that exercises are the most practical, efficient, and cost effective way to prepare for
disasters and crises. The aim for any transit agency should be to develop a progressive exercise program,
a long-term approach in which exercises are planned, conducted, and evaluated as building blocks to
competency in crisis management.
There are two principal benefits of such a program. First, people practice their role and gain proficiency
in crisis management. Second, the coordination among transit providers and local emergency response
agencies is improved. These benefits arise not from exercising alone, but from evaluating the exercise
and acting upon those results. An exercise has value only when it leads to individual and/or collective
improvement.
Key terms used in the development of exercises include the following:
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.
Types of exercises include the following:
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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 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
If you observe a crime in progress or behavior that you suspect is criminal, immediately notify [dispatch
or local police]. Report as much information as possible including:
Activity: What is happening? (In plain language and with as few assumptions as possible)
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Description of involved people: For each involved person, provide:
Height.
Weight.
Gender.
Clothing.
Weapons.
Distinguishing characteristics.
Location: Describe exactly where the criminal activity is occurring. If the activity is “moving,” describe
the direction of travel.
Vehicle: If a vehicle is involved, please provide the following:
Color.
Year.
Make.
Model.
License.
DO NOT APPROACH OR ATTEMPT TO APPREHEND THE PERSON(S) INVOLVED.
Stay on the telephone with the police dispatcher and provide additional information as changes in the
situation occur, until the first police officer arrives at your location.
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: MV Transportation Inc.
ADDRESS: 1993 Rancho Conejo Blvd Thousand Oaks, CA
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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
Electric:
9.7.1Elements
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).
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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.
v. Training
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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 Work Area Special
Assignment
Todd Painter Safety Manager MSC
George Saldana Road Supervisor MSC
Jennifer Singer GM MSC
Training is provided for employees when:
―The plan was initiated.
―Responsibilities change.
―New employees are hired or transferred.
9.7.2Emergency 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
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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
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:
―Primary location.
―Secondary location.
The emergency evacuation coordinator will determine the method to be
utilized to locate missing personnel.
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Rescue and Medical Duties
It may become necessary in an emergency to rescue personnel and perform some specified medical
duties, including first-aid treatment. All employees assigned to perform such duties will have been
properly trained and equipped to carry out their assigned responsibilities properly and safely.
Assignments
Name Location Special
Assignment
Special Training
Provided
Todd Painter MSC First Aid Basic First Aid
George Saldana
Special Instructions and Procedures
All personnel performing emergency rescue and medical duties must follow
these instructions:
9.8. Appendix H –ChemicalHazard Communication
Program Plan
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MV sites will utilize the Hazardous Communication Plan contained within the MV Safety Policy Manual.
An overview of the plan is as follows:
Company Policy – 29 CFR 1910.1200(e)
MV is committed to the prevention of exposures that result in injury and/or illness; and to comply with
29 CFR 1910.1200, OSHA’s Hazard Communication Standard and all applicable state health and safety
rules.
All employees of MV are included under the hazard communication program. This written program will
be available for review by any employee during work hours. It is located in the MV Safety Policy and
Procedures Manual.
Container Labeling – 29 CFR 1910.1200(f)
The safety manager and maintenance manager are jointly responsible for ensuring that all container
labeling procedure are reviewed and updated as needed.
Description of labeling system used:
Original containers received for use will be labeled to indicate at a minimum:
―Warning labels that are legible and in English.
―The name of the chemical.
―Items found on the SDS
―Pertinent physical and health hazards, including the organs that
would be affected.
―The name, address, and phone number of the manufacturer,
importer or responsible party.
Secondary containers will be labeled with at a minimum:
The name of the chemical as it appears on the SDS.
Appropriate hazard warnings.
Material Safety Data Sheets (SDS) – 29 CFR 1910.1200(g)
The safety manager and maintenance manager(s) at each garage are responsible for obtaining and
maintaining the SDSs.
The maintenance manager will review incoming SDS to make sure that they contain all required
information, and for changes in health and safety information. The maintenance manager will make sure
that any new information is passed on to affected employees.
When toxic or hazardous substances are received without the SDS, the maintenance manager will either
call or send a letter to the supplier requesting the SDS. A written record of all SDS requests, whether by
phone or formal letter, will be placed in a special file.
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Employees are not permitted to use any chemicals for which the company does not have the SDS.
SDS will be accessible to all employees during each work shift. Copies of the SDS will be kept in the
maintenance shop at each garage.
Employee Information and Training – 29 CFR 1910.1200(e) (1) (i)
The safety manager and maintenance manager are responsible for the employee training program. They
will ensure that all elements specified below are carried out.
The maintenance managers are responsible for assuring that before starting work, each affected
employee of MV will attend a health and safety orientation that includes information and training on
the following:
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.
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, employees may be required to perform non-routine tasks that involve the use of hazardous
chemicals.
The maintenance manager will provide information about hazardous chemicals to which employees may
be exposed during non-routine tasks prior to employees starting such tasks.
This information will include:
Specific hazards involved.
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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)
The safety manager and maintenance manager will provide contractors who have employees at any
maintenance facility the following information:
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
Before work is started, the maintenance manager will contact each contractor to gather and
disseminate any information concerning chemical hazards that the contractor is bringing into MV’s
workplace. They are also responsible for ensuring that any employees of MVwho is exposed to these
hazards are properly trained and protected.
List of Hazardous Chemicals – 29 CFR 1910.1200(e) (1) (i)
The safety manager and maintenance manager are responsible for preparing and updating the list of all
chemicals in the workplace that are potentially hazardous.
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