Safety _ Security Plan Template

Your Organization Your Office Safety and Security Plan Template DRAFT -November 14, 2006 Revision Joel McNamara – ngosecurity@gmail.com Date last reviewed: This work is licensed under the Creative Commons Attribution NonCommercial 2.5 License. You are free to: -copy, distribute, display, and perform the work -make derivative works Under the following conditions: -By Attribution -You must attribute the work to the author (Joel McNamara) or licensor. -Nc -Noncommercial. You may not use this work for commercial purposes. -For any reuse or distribution, you must make clear to others the license terms of this work. -Any of these conditions can be waived if you get permission from the copyright holder. Your fair use and other rights are in no way affected by the above. To view a full copy of this license, visit http://creativecommons.org/licenses/bynnc2.5/or send a letter to Creative Commons, 543 Howard Street, 5th Floor, San Francisco, California, 94105, USA. TABLE OF CONTENTS TABLE OF CONTENTS.................................................................................................... 3 1. OVERVIEW................................................................................................................... 6 1.1 -Introduction ............................................................................................................ 6 1.2 -Safety and Security Responsibility......................................................................... 6 1.3 -Safety and Security Focal Person ........................................................................... 6 1.4 -Safety and Security Committee .............................................................................. 6 1.5 -Safety and Security Plan......................................................................................... 7 1.6 – Current Threats ...................................................................................................... 7 1.7 – Current Risk Rating ............................................................................................... 7 1.8 – Safety and Security Planning Assessment ............................................................. 7 2 -CRISIS MANAGEMENT............................................................................................. 8 2.1 -Crisis Management Team....................................................................................... 8 2.1.1 – Training........................................................................................................... 8 2.2 -Death or Serious Injury of Staff Member............................................................... 8 2.3 -Staff Member Abduction........................................................................................ 8 2.4 -Staff Member Assault............................................................................................. 8 2.5 – Staff Member Arrest or Detention ......................................................................... 9 2.6 – Vehicle Accident (Death or Serious Injury of Non-Staff Member) ...................... 9 2.7 -Evacuation/Relocation/Hibernation........................................................................ 9 2.8 -Medical Evacuation ................................................................................................ 9 2.9 -Natural Disasters..................................................................................................... 9 2.10 – Theft, Fraud or Embezzlement (Significant Amounts)........................................ 9 2.11 – Continuity of Operations...................................................................................... 9 2.12 – Civil Unrest.......................................................................................................... 9 3 -FACILITIES................................................................................................................ 10 3.1 -Your Office Facilities ........................................................................................... 10 3.2 -Facilities Security and Access .............................................................................. 10 3.2.1 -Key Policy ..................................................................................................... 10 3.2.2 -Staff After Hours Policy................................................................................ 10 3.2.3 – Visitor Policy ................................................................................................ 10 3.2.4 – Changing Locks and Access Codes .............................................................. 10 3.2.5 -Alarm Systems............................................................................................... 10 3.3 – Facilities Safety.................................................................................................... 11 3.3.1 -Your Office Evacuation Plan......................................................................... 11 3.3.2 -Telephone Bomb Threats............................................................................... 12 3.4 -Fire and Electrical Safety ..................................................................................... 12 3.4.1 -Fire extinguishers .......................................................................................... 12 3.4.2 -Smoke detectors............................................................................................. 12 3.4.3 -Smoking areas................................................................................................ 12 3.4.4 -Space heaters ................................................................................................. 12 3.4.5 -Electrical safety ............................................................................................. 12 3.4.6 – Fire and Electrical Safety Inspections........................................................... 12 3.5 -Facility Medical Emergencies .............................................................................. 13 3.5.1 -Response........................................................................................................ 13 3.5.2 -First Aid Kits ................................................................................................. 13 3.6 -Facility Site Selection........................................................................................... 14 3.7 -Facility Safety and Security Assessment.............................................................. 14 4 -TRANSPORTATION ................................................................................................. 15 4.1 -Your Office Vehicles............................................................................................ 15 4.2 – Vehicle Use Policies ............................................................................................ 15 4.3 – Passenger Policies................................................................................................ 15 4.4 -Seat Belt Policy .................................................................................................... 15 4.5 – Vehicle Maintenance and Inspection Schedule ................................................... 15 4.6 – Minimum Vehicle Equipment.............................................................................. 15 4.7 – Accident Procedures ............................................................................................ 15 4.8 – Insurance .............................................................................................................. 15 5 -COMMUNICATION .................................................................................................. 17 5.1 -Types of Communication Systems ....................................................................... 17 5.2 -Warden System/Phone Tree ................................................................................. 17 5.3 – Communications Assessment .............................................................................. 17 6 -INFORMATION......................................................................................................... 18 6.1 -Information ........................................................................................................... 18 6.1.1 -Information Classification ............................................................................. 18 6.1.2 -Information Storage....................................................................................... 18 6.1.3 -Information Security...................................................................................... 18 6.2 -Incident Reporting ................................................................................................ 18 6.3 -Computers and Networks ..................................................................................... 19 6.4 – Information Assessment....................................................................................... 19 7 -PERSONNEL.............................................................................................................. 20 7.1 -Key Staff Contact List .......................................................................................... 20 7.2 – Safety and Security Briefings .............................................................................. 20 7.3 -Staff Health........................................................................................................... 20 7.3.1 – Vaccinations.................................................................................................. 20 7.3.2 – Insurance/Healthcare..................................................................................... 20 7.3.3 – Flu Pandemic ................................................................................................ 21 7.3.4 – Training......................................................................................................... 21 7.3.5 – Stress Management ....................................................................................... 21 7.4 – Staff Safety and Security Training....................................................................... 21 7.5 -Record of Emergency Data (RED) ....................................................................... 21 7.6 -Hiring and Termination Policies........................................................................... 21 7.7 -Alcohol and Drug Policy ...................................................................................... 21 7.8 -Staff Movement .................................................................................................... 22 7.9 -Visiting Staff or Consultants ................................................................................ 22 7.10 -Guards................................................................................................................. 22 7.11 – Personnel Assessment........................................................................................ 22 Appendix A – Current Threats.......................................................................................... 23 Appendix B – Risk Ratings............................................................................................... 24 Appendix C – Evacuation/Relocation/Hibernation Plans................................................. 32 Appendix D – Medical Evacuation Plan........................................................................... 33 Appendix E – Natural Disaster Responses ....................................................................... 34 Appendix F – Civil Unrest Response Plans...................................................................... 35 Appendix G -Facility and Building Vulnerability Checklist ........................................... 36 Appendix H -Fire Safety Checklist.................................................................................. 40 Appendix I -Telephone Bomb Threat Checklist.............................................................. 42 Appendix J -Transportation Program Vulnerability and Information Checklist ............. 45 Appendix K -Communications and Information Systems Vulnerability Checklist......... 48 Appendix L -Personnel and Administrative Vulnerability Checklist .............................. 51 Appendix M -Safety and Security Planning Vulnerability Checklist.............................. 55 Appendix N – Key Staff Contact List............................................................................... 57 Appendix O – Warden/Phone Tree................................................................................... 58 1. OVERVIEW 1.1 -Introduction The purpose of safety and security policies, procedures and measures is to protect Your Organization, its staff and its assets from harm or loss. This document contains safety and security policies and procedures. (ADD ANY OTHER OFFICE SPECIFIC CONTENT) 1.2 -Safety and Security Responsibility The Country Director (CD) is responsible for decisions regarding safety and security matters and issues. In the absence of the CD, the Assistant Country Director (ACD), is responsible for safety and security matters and issues. Your Organization's headquarters should be consulted during a serious safety or security incident. (ADD DETAIL) (ADD ANY OTHER OFFICE SPECIFIC CONTENT) 1.3 -Safety and Security Focal Person (INSERT OFFICE SPECIFIC RESONSIBILITIES AND INFORMATION) The Country Office will have a designated Safety and Security Focal Person. A Safety and Security Focal Person is a staff member that has the following duties in addition to his or her normal job responsibilities. Regional offices are encouraged to assign focal persons to handle local safety and security issues. The Safety and Security Focal Person for the office is: (INSERT NAME OF SAFETY & SECURITY FOCAL PERSON) 1.4 -Safety and Security Committee The Country Office will maintain a safety and security committee composed of selected senior management and general staff members and the Safety and Security Focal Person. The committee will meet regularly to discuss safety and security issues and make related decisions. The current (INSERT DATE) safety and security committee consists of: (INSERT NAMES AND TITLES) (ADD ANY OTHER OFFICE SPECIFIC CONTENT) 1.5 -Safety and Security Plan The Country Office will maintain a Safety and Security Manual (this document) that will contain all safety and security policies, procedures and related information. The plan will be reviewed at least every six months (or more frequently depending on safety and security events and conditions.) The Safety and Security Focal Person will be responsible for updating the Safety and Security Manual, based on feedback from the Safety and Security Committee and the Crisis Management Team. (ADD ANY OTHER OFFICE SPECIFIC CONTENT) 1.6 – Current Threats Appendix A contains a list of current threats, including information whether they are direct or indirect, their impact and probability. 1.7 – Current Risk Rating Appendix B contains risk ratings (including responses) as well as the current risk rating for the office. 1.8 – Safety and Security Planning Assessment The Security and Safety Focal Person will conduct a safety and security planning assessment at least every six months (or as conditions warrant). The Safety and Security Planning Vulnerability Checklist (Appendix M) will be used as part of the assessment. The Security and Safety Focal Person will bring any deficiencies to the Safety and Security Committee, which will then act on the findings. 2 -CRISIS MANAGEMENT This section describes office crisis management and response procedures. 2.1 -Crisis Management Team Your Organization will maintain a Crisis Management Team. The team will convene to address and make decisions on significant safety and security incidents. The current (INSERT DATE) Crisis Management Team consists of: (INSERT NAMES AND TITLES) (ADD ANY OTHER OFFICE SPECIFIC CONTENT) 2.1.1 – Training The Crisis Management Team will convene at least two times a year for scenario-based training sessions. (ADD ANY OTHER OFFICE SPECIFIC CONTENT) 2.2 -Death or Serious Injury of Staff Member (INSERT PROCEDURES IN CASE OF DEATH OR SERIOUS INJURY OF A STAFF MEMBER. INCLUDE PROCEDURES FOR CONTACTING FAMILY, FAMILY SUPPORT, COUNSELING FOR OTHER STAFF MEMBERS, EVALUATION OF PROGRAMS IN CASE OF VIOLENT DEATH.) 2.3 -Staff Member Abduction (INSERT PROCEDURES IN CASE OF STAFF MEMBER ABDUCTION, INCLUDING RESPONSIBILITY FOR NEGOTIATIONS, RANSOM DEMANDS, INVOLVEMENT BY GOVERNMENT ENTITIES, CONTACT AND SUPPORT OF FAMILY MEMBERS.) 2.4 -Staff Member Assault (INSERT PROCEDURES IN CASE OF PHYSICAL AND/OR SEXUAL ASSUALT OF STAFF MEMBER, INCLUDING MEDICAL CARE AND COUNSELING.) 2.5 – Staff Member Arrest or Detention (INSERT PROCEDURES IN CASE OF STAFF MEMBER ARREST OR DETENTION, INCLUDING PRIMARY POINT OF CONTACT.) 2.6 – Vehicle Accident (Death or Serious Injury of Non-Staff Member) (INSERT PROCEDURES FOR HANDLING A VEHICLE ACCIDENT THAT RESULTS IN THE DEATH OR SERIOUS INJURY OF A LOCAL RESIDENT.) 2.7 -Evacuation/Relocation/Hibernation Appendix C contains the office Evacuation/Relocation/Hibernation plans. 2.8 -Medical Evacuation Appendix D contains the office medical evacuation plan. 2.9 -Natural Disasters Appendix E contains the office response plan for dealing with different types of natural disasters. 2.10 – Theft, Fraud or Embezzlement (Significant Amounts) (INSERT PROCEDURES FOR HANDLING INCIDENTS OF SIGNIFICANT THREAT, FRAUD OR EMBEZZLEMENT.) 2.11 – Continuity of Operations (INSERT PROCEDURES FOR CONTINUITY OF OPERATIONS IN CASE THE OFFICE IS DAMAGED OR DESTROYED.) 2.12 – Civil Unrest Appendix F contains the office response plan for dealing with civil unrest. (INSERT ADDITIONAL SECTIONS THAT MAY BE APPLICABLE) 3 -FACILITIES This section describes safety and security policies and procedures that relate to buildings and facilities. 3.1 -Your Office Facilities (PROVIDE A LIST OF ALL FACILITIES USED BY YOUR OFFICE. THIS INCLUDES OFFICES, WAREHOUSES, GARAGES, AND GUESTHOUSES. INCLUDE THE TYPE OF FACILITY, ADDRESS, AND PHONE NUMBER (IF APPLICABLE). ALSO LIST ANY HOTELS USED BY THE OFFICE TO LODGE VISITORS.) 3.2 -Facilities Security and Access (INSERT INFORMATION THAT DEALS WITH FACILITY SECURITY AND ACCESS) 3.2.1 -Key Policy (INSERT OFFICE KEY POLICY) 3.2.2 -Staff After Hours Policy (INSERT POLICY THAT DISCUSSES STAFF AFTER HOURS OFFICE ACCESS) 3.2.3 – Visitor Policy (INSERT OFFICE VISTOR POLICY) 3.2.4 – Changing Locks and Access Codes (INSERT POLICY AND PROCEDURES FOR CHANGING LOCKS AND ACCESS CODES) 3.2.5 -Alarm Systems (INSERT POLICY AND PROCEDURES RELATING TO ALARM SYSTEMS) (ADD ANY ADDITIONAL, APPLICABLE SECTIONS) 3.3 – Facilities Safety This section presents facility safety policies and procedures. 3.3.1 -Your Office Evacuation Plan (REPLACE WITH OFFICE SPECIFIC PLAN) Each facility should have an evacuation plan. The goal of an evacuation plan is to identify the most efficient way to safely get staff out of a building as quickly as possible, moving them to a secure location outside. • In the event of a fire, bomb threat, or (INSERT OTHER CONDITIONS) the office will be evacuated. • The Country Director, Assistant Country Director, or (INSERT OTHER SENIOR STAFF MEMBER) will be responsible for initiating an evacuation. • The signal (INSERT WHAT TYPE OF SIGNAL) means to evacuate the facility. • The primary evacuation exits and routes are: o (INSERT DETAILS) • Secondary evacuation exits and routes in case a primary exit is blocked are" o (INSERT DETAILS) • Signs will clearly mark the evacuation route. • Emergency lighting sources will be available. • Selected staff members, identified as follows (INSERT NAMES) will serve as marshals who will help coordinate and lead the evacuation. • If a facility is being evacuated due to a bomb threat, staff should look for any suspicious items or things that seem out of place while they are leaving the building. They should not stop to examine the item, but should inform a supervisor once outside. This information should be reported to the authorities when they arrive. • A safe location outside the building should be established where staff will assemble. The location is (INSERT SAFE RALLYING POINTS). For incidents that may involve explosives, at least 500 meters away from the building is recommended. • The evacuation plan should be tested at least once a year. During these tests, the amount of time it takes for staff to completely evacuate the building should be tracked with ways to improve the evacuation process considered. • Building evacuation procedures should be incorporated into new staff orientation. (INSERT OTHER FACILITY EVACUATION PLANS) 3.3.2 -Telephone Bomb Threats In case of a telephone bomb threat, the checklist in Appendix I should be used to record information. Staff members likely to answer a telephone and receive a threat should have blank copies of the form readily available. Upon receiving a bomb threat, the CD or ACD will be contacted and a decision will be made whether to evacuate the facility. The appropriate authorities (INSERT WHO AND PHONE NUMBER) will be contacted after a decision is made. Facility evacuation procedures listed in 3.3 will be followed. 3.4 -Fire and Electrical Safety This section contains fire and electrical safety policies and procedures. 3.4.1 -Fire extinguishers (INSERT FIRE EXTINGUISHER POLICIES) 3.4.2 -Smoke detectors (INSERT SMOKE DETECTOR POLICIES) 3.4.3 -Smoking areas (INSERT SMOKING POLICIES) 3.4.4 -Space heaters (INSERT SPACE HEATER SAFETY PROCEDURES) 3.4.5 -Electrical safety (INSERT ELECTRICAL SAFETY PROCEDUES) 3.4.6 – Fire and Electrical Safety Inspections Regular fire and electrical inspections will be conducted (INSERT FREQUENCY). Appendix H contains a Fire Safety checklist that should be used for inspections. 3.5 -Facility Medical Emergencies (INSERT PROCEDURES FOR IF SOMEONE BECOMES SERIOUSLY INJURED OR ILL IN THE OFFICE) 3.5.1 -Response (INSERT OFFICE MEDICAL RESPONSE PROCEDURES IN CASE OF SERIOUS ILLNESS OR INJURY DURING OFFICE HOURS. THIS SHOULD INCLUDE HOW TO TRANSPORT, WHERE, INSURANCE, ETC.) 3.5.2 -First Aid Kits Each facility will have a minimum of one first aid kit that contains basic equipment to treat a patient during an emergency. First aid equipment will be stored in a well-marked, water resistant container that keeps the contents clean. (Tin or plastic boxes or large plastic bags that can seal are good choices.) The purpose of a first aid kit is to handle emergency situations until a doctor, nurse, or trained healthcare worker can see the patient. Aspirin, antacids, cough drops, allergy pills and other non-emergency medications should be kept in a separate container. If first aid equipment is used, it will be replaced as soon as possible so it is available the next time someone needs it. (A list in the first aid kit should be included that shows the basic stocked items so a quick inventory can be performed.) All staff should know the location of the first aid kit and be ready to use it quickly during an emergency. A first aid kit should contain the following minimum equipment: 2 pair -Sterile latex or vinyl gloves 1 -CPR mask (for month-to-month resuscitation) 1 -Eye irrigator (to wash out foreign bodies from the eye) 1 pair -Scissors 1 pair -Forceps/tweezers 12 -Plastic adhesive bandages/plasters of various sizes 2 -Triangular bandages (with large safety pins) 6 -4"x4" gauze dressings 4 -2"x2" gauze dressings 1 roll -1" adhesive tape (to secure dressings) 1 -2' long sheet of clear plastic, food wrap -(for covering burns) 1 -bottle antiseptic (Dettol or similar) or antiseptic towelettes 2 packages -oral rehydration salts (ORS) 1 -Basic, small first aid book or instruction card (available from the local Red Cross) (IF THERE ARE ANY ADDITIONAL FIRST AID EQUIPMENT OR NEEDS, LIST THEM IN THIS SECTION) 3.6 -Facility Site Selection (INSERT POLICIES AND PROCEDURES FOR SELECTING NEW FACILITY SITES) 3.7 -Facility Safety and Security Assessment The Security and Safety Focal Person will conduct a facility safety and security assessment at least every six months (or as conditions warrant) of all local facilities used by Your Organization. The Fire Safety Checklist (Appendix H) and the Building and Facility Vulnerability Checklist (Appendix G) will be used as part of the assessment. The Security and Safety Focal Person will bring any deficiencies to the Safety and Security Committee, which will then act on the findings. 4 -TRANSPORTATION This section contains transportation-related safety and security policies and procedures. 4.1 -Your Office Vehicles (INSERT LIST OF VEHICLES USED BY YOUR OFFICE, INCLUDING MAKE, MODEL, VEHICLE IDENTIFICATION NUMBER, AND LICENSE NUMBER) 4.2 – Vehicle Use Policies (INSERT VEHICLE USE POLICIES, INCLUDING STAFF ACCESS TO VEHICLES, VEHICLE OPERATION DURING CIVIL UNREST, ETC.) 4.3 – Passenger Policies (INSERT NON-STAFF MEMBER PASSENGER POLICIES) 4.4 -Seat Belt Policy (INSERT SEAT BELT POLICY) 4.5 – Vehicle Maintenance and Inspection Schedule (INSERT VEHICLE MAINTENANCE AND INSPECTION SCHEDULE.) 4.6 – Minimum Vehicle Equipment (INSERT LIST OF MINIMUM VEHCILE SAFETY EQUIPMENT TO BE CARRIED) 4.7 – Accident Procedures (LIST PROCEDURES IN CASE OF VEHICLE ACCIDENT) 4.8 – Insurance (LIST VEHICLE INSURANCE REQUIREMENTS, INSURER AND POLICY NUMBERS) 4.9 – Transportation Program Safety and Security Assessment The Security and Safety Focal Person will conduct a safety and security assessment of the transportation program at least every six months (or as conditions warrant). The Transportation Program Vulnerability and Information Checklist (Appendix J) will be used as part of the assessment. The Security and Safety Focal Person will bring any deficiencies to the Safety and Security Committee, which will then act on the findings. (ADD ANY OTER APPLICABLE TRANSPORTATION SAFETY AND SECURITY POLICIES) 5 -COMMUNICATION This section describes safety and security policies and procedures that relate to buildings and facilities. 5.1 -Types of Communication Systems The following types of communication equipment are used. (INSERT COMMUNICATION SYSTEMS USED, INCLUDING SPECIFIC BRANDS AND MODELS AND QUANTITIES.) 5.2 -Warden System/Phone Tree The office will maintain a warden system as a way of contacting staff members during an emergency. The phone tree is included in Appendix N. 5.3 – Communications Assessment The Security and Safety Focal Person will conduct a communication assessment at least every six months (or as conditions warrant). Applicable parts of the Communication and Information Systems Vulnerability Checklist (Appendix K) will be used as part of the assessment. The Security and Safety Focal Person will bring any deficiencies to the Safety and Security Committee, which will then act on the findings. (ADD ANY OTER APPLICABLE COMMUNICATIONS POLICIES AND PROCEDURES THAT RELATE TO SAFETY AND SECURITY) 6 -INFORMATION This section describes safety and security policies and procedures that relate to information. 6.1 -Information (DESCRIBE TYPES OF PAPER INFORMATION THAT ARE USED ON A DAILY BASIS OR ARCHIVED BY THE OFFICE) 6.1.1 -Information Classification (INSERT PROCEDURES FOR CLASSIFYING TYPES OF INFORMATION AS SENSITIVE OR CRITICAL, GIVING EXAMPLES AND DISCUSSING ACCESS.) 6.1.2 -Information Storage (INSERT SAFE INFORMATION STORAGE PROCEDURES THAT REDUCE RISK OF DAMAGE BY FLOOD OR FIRE.) 6.1.3 -Information Security (INSERT POLICIES AND PROCEDURES FOR SECURING INFORMATION FROM UNAUTHORIZED ACCESS.) 6.2 -Incident Reporting The Safety and Security Focal Person will maintain an incident reporting system to track safety and security incidents, which have affected Your Organization. Tracked and recorded incidents will include: • Ambushes • Arrests or detentions • Attacks or assault (physical or sexual), including attempts • Bombings • Civil disturbances • Credible threats of harm to staff or property • Extortion attempts • Kidnappings or attempted kidnappings • On-the-job accidents that result in serious injury • Patterns of hostile acts directed at staff • Thefts of funds, goods, or other assets • Vehicle accidents involving staff that result in injury or death (INSERT ADDITIONAL DETAILS ON THE INCIDENT REPORTING SYSTEM, INCLUDING TREND AND PATTERN REPORTS GIVEN TO THE SAFETY AND SECURITY COMMITTEE AND SENIOR MANAGEMENT.) 6.3 -Computers and Networks Your Organization's Information Technology department will maintain a separate policies and procedures manual that covers safety and security issues related to office computers and networks (including computer misuse). 6.4 – Information Assessment The Security and Safety Focal Person will conduct a safety and security assessment of information systems at least every six months (or as conditions warrant). Applicable parts of the Communication and Information Systems Vulnerability Checklist (Appendix K) will be used as part of the assessment. The Security and Safety Focal Person will bring any deficiencies to the Safety and Security Committee, which will then act on the findings. (ADD ANY OTER APPLICABLE INFORMATION POLICIES AND PROCEDURES THAT RELATE TO SAFETY AND SECURITY) 7 -PERSONNEL This section describes safety and security policies and procedures that relate to personnel. 7.1 -Key Staff Contact List The office will maintain an up-to-date list of phone numbers and contact information for key staff members. The Key Contact List is included in Appendix N. 7.2 – Safety and Security Briefings The Safety and Security Focal Person will give a safety and security briefing to all visitors upon arrival in Your Office. Information to be covered in the briefing includes: • Primary office contacts and phone numbers • Communication systems that are being used • Current political situation and trends • Conflict-related threats (if appropriate) • Current criminal threats • Natural hazards • Health concerns • Travel restrictions • Summary of disaster, safety and security plans • General procedures for responding to common threats A record will be kept of who received the briefing, who gave the briefing and the date. (ADD ANY ADDITIONAL PROCEDURES SPECIFIC TO THE OFFICE.) 7.3 -Staff Health (INSERT SAFETY POLICIES AND PROCEDURES RELATED TO STAFF HEALTH) 7.3.1 – Vaccinations (INSERT STAFF VACCINATION/IMMUNIZATION POLICIES) 7.3.2 – Insurance/Healthcare (INSERT STAFF INSURANCE/HEALTHCARE POLICIES AND PROCEDURES) 7.3.3 – Flu Pandemic (INSERT FLU PANDEMIC PLAN) 7.3.4 – Training (INSERT REQUIRED HEALTH RELATED TRAINING SUCH AS HIV/AIDS, HEALTH AWARENESS, ETC.) 7.3.5 – Stress Management (INSERT POLICIES AND PROCEDURES ON STRESS MANAGEMENT) 7.4 – Staff Safety and Security Training All staff members will receive training on the following topics. • Basic personal security • Evacuation procedures • Fire and electrical safety • First Aid/CPR (Cardio Pulmonary Resuscitation) (ADD ADDITIONAL SAFETY AND SECURITY TRAINING POLICIES AND PROCEDURES, INCLUDING FREQUENCY OF TRAINING, TRAINING RECORDS BEING KEPT, ETC.) 7.5 -Record of Emergency Data (RED) The office will maintain a current Record of Emergency Data (RED) for all staff members. (INSERT OFFICE RED POLICY) 7.6 -Hiring and Termination Policies (LIST ANY SECURITY POLICIES AND PROCEDURES ASSOCIATED WITH HIRING AND TERMINATION. THIS COULD INCLUDE BACKGROUND CHECKS, HOSTILE TERMINATED EMPLOYEES, ETC.) 7.7 -Alcohol and Drug Policy (INSERT THE OFFICE ALCOHOL AND DRUG POLICY) 7.8 -Staff Movement (INSERT POLICIES ON STAFF MOVEMENT, INCLUDING CURFEWS, NO-GO AREAS, OR ANY OTHER RESTRICTIONS. LIST THRESHOLDS OR CONDITIONS THAT WOULD CAUSE MOVEMENT RESTRICTIONS TO GO INTO EFFECT.) 7.9 -Visiting Staff or Consultants (INSERT ANY SAFETY OR SECURITY POLICIES THAT APPLY TO VISITING STAFF MEMBERS OR CONSULTANTS. THIS WOULD INCLUDE CONDITIONS THAT WOULD RESTRICT VISITORS.) 7.10 -Guards (AS GUARDS ARE CURRENTLY NOT BEING USED, THIS SECTION DOES NOT NEED TO IMMEDIATELY BE ADDED. HOWEVER, IT IS STRONGLY ADVISED THAT SOME THOUGHT BE GIVEN TO THIS AREA.) (STATE HOW GUARDS ARE BEING USED, INCLUDING NUMBER, SHIFT DURATION, TYPE OF EQUIPMENT. IF NO GUARDS ARE BEING USED, STATE SO.) (IF GUARDS ARE BEING USED, STATE THE COMPANY, INCLUDING NAME, PHONE NUMBER, AND CONTACT PERSON, OF THE BUSINESS PROVIDING THE SERVICE. IF GUARDS ARE ARMED, STATE LETHAL FORCE POLICY) 7.11 – Personnel Assessment The Security and Safety Focal Person will conduct a safety and security assessment of personnel-related policies and procedures at least every six months (or as conditions warrant). Applicable parts of the Personnel and Administrative Vulnerability Checklist (Appendix L) will be used as part of the assessment. The Security and Safety Focal Person will bring any deficiencies to the Safety and Security Committee, which will then act on the findings. (ADD ANY OTER APPLICABLE PERSONNEL/ADMINISTRATIVE POLICIES AND PROCEDURES THAT RELATE TO SAFETY AND SECURITY) Appendix A – Current Threats (INSERT LIST OF CURRENT THREATS, INCLUDING WHETHER DIRECT OR INDIRECT, IMPACT AND PROBABILITY. THREAT MATRICES CAN OPTIONALLY BE USED.) Appendix B – Risk Ratings The current office risk rating is: (INSERT CURRENT RISK LEVEL) (REPLACE WITH RISK RATING DESCRIPTIONS AND APPROPRIATE ACTIONS AND PLANNING PER YOUR OFFICE/COUNTRY – THE FOLLOWING SERVES AS A GENERAL GUIDELINE AND SHOULD BE MODIFIED TO MEET YOUR OWN SITUATION – SOURCE: CARE INTERNATIONAL) LOW RISK LEVEL (I) This is essentially a stable environment, free of political, economic, and social unrest. Organized anti-government or terrorist groups may be present, but exhibit limited operational capabilities. (Even in countries that enjoy low crime and stable social systems, there still may be a threat from natural disasters such as volcanoes or floods, which would possibly elevate the risk level. Level I is a preparation phase. Security precautions outlined in the CARE Safety and Security Handbook are applicable. ACTIONS CONTINGENCY PLANNING • Country office security officer(s) or focal person(s) field security officers assigned. • All Records of Emergency Data (RED) for all staff are kept updated. • International staff family members are registered with the appropriate embassy. • All staff members are aware of evacuation routes. • The appropriate line of authority has been established for staff in the country or region for security and safety issues. • The Country/Field Office assembly areas and alternate assembly areas are identified, published and coordiinate with UN, other NGOs, the ICRC, diplomatic missions and appropriate military forces, • The country office Emergency Evacuation Plan is up-to-date and readily available. • Emergency Evacuation Plan procedures and guidance for the office is published. • All staff are knowledgeable of evacuation protocols involving the country office. • "Draw Down Contingency Plan" for equipment and "stay behind" assets formalized and necessary contracts with any “holding agency” to include inventory lists are complete. • The Country/Field staff officer in charge of evacuation planning and operations is identified. • A designated staff member is identified to be responsible for preparing, maintaining, and updating the evacuee manifest. • The country office policy concerning actions to be taken when national staff members request evacuation or political asylum has been briefed to all staff members. • Procedures are in place and discussed with all staff concerning an international member of the staff who chooses to remain behind in the event of an evacuation. • The country office has established procedures for evacuation or other emergency action for national staff members and all staff briefed. if applicable. • Specific documents that must accompany the evacuating staff have been identified. Consideration given to documents that include reference to the specific duties and pay scales/salaries of national staff members and any documentation that could be used against country office national staff members. • National and international staff have proper travel documentation, including driver license. Essential vehicle registration and documentation is in each vehicle. • Emergency supplies and medical kits are available in all offices and vehicles to attend to staff caught in an office or in the field during disturbances. Emergency supplies should be available for international staff housing for two week ‘stay at home’ precaution. • Establish a security network with lists of family members, locations of houses and a map of the town as been established. • Visitors check in with their respective embassies or appropriate office upon arrival. • Visitors are provided with emergency contact information including phone numbers of key local and international staff. • No vehicle movement outside of designated towns after sunset. Dusk is more dangerous than dark as • Security wardens have been identified for the rapid transmission of operational, security and evacuation information through the whole staff. This includes staff being evacuated and those remaining. • Confirm status of evacuation boxes in the country and field offices. Determine critical files to be carried in an evacuation. Ensure evacuation boxes are accessible, unlocked and empty. Clearly mark files and items to be carried and copy key computer records. • All insurance policies concerning staff and assets are reviewed, updated and monitored on a regular basis. visibility is problematic and timings for cessation of travel should be revised during the year. • Vehicles parked in secure areas only and a “half-full” fuel policy maintained. All vehicles to have firefighhting medical, repair and water supplies and wheel or similar physical locks. • Keep bank balances at minimum levels and reduce the use of cash further from normal levels. • Introduce more frequent staff and /or management meetings to share information and discuss actions or restrictions. MODERATE RISK LEVEL (II) Countries or regions that are unstable and where political, economic, and social unrest is normal. Organized anti-government or terrorist groups may be active, but not strong enough to threaten government stability. Such a country might also be involved in a regional dispute or exhibit high crime rates. Increased security precautions are required in Moderate risk countries (see CARE Safety and Security Handbook) ACTIONS CONTINGENCY PLANNING In addition to Phase I actions: • Weekly Threat Assessments are drafted and distributed to all staff. • Movement and activities are monitored. The benefit of all operations is measured against the risk associated with implementation. • International staff review their capacity to expand their short term sleeping and eating capacities in their residences. • Country Office keep its incouuntr bank balances at a minimum and restrict future cash transfers into main and sub office accounts to cater for emergency payments only. • All Offices maintain emergency cash reserves to be determined by the Country Director. • Outstanding obligations such as pending invoices and bills should be settled to the extent possible. • Special emergency advances in small denominations will be given to key staff as determined by the Country Director (CD), Assistant Country Director (ACD) and Financial Controller. • Consideration is given to all • International staff prepare an evacuation bag of no more than 15 kg per person including food. • Consideration is given to allowing international staff to ship a portion of their house hold goods to their home of record or another location of comparable distance • CD may arrange TDY for international staff if crisis is expected to continue. The CD may instruct dependants and non-essential staff to leave the country. Staff, either national or international, may be instructed to take annual leave or Leave With Out Pay. • Open-ended airline tickets are purchased for international staff and families. • If applicable, Corporate VISA Cards with a minimum debt limit of USD$4000.00 is provided to each international staff member. staff travel throughout the country being done in pairs. • Movement at night outside of city limits is not allowed. • Travel may be restricted to, or banned from specific areas. • CD may consider where possible having vehicles travel in pairs and use strict convoy routine. • All staff carefully consider their travel, eating and shopping routines eating during day and night and to be alert for attack or demonstrations. Staff to avoid political rallies or large gatherings of people. HIGH RISK LEVEL (III) Countries or regions where the standing government may use quasi-legal or paramilitary forces to impose government doctrine on the population, international businesses and/or foreign diplomatic representatives. In addition, there may be organized anti-government or terrorist groups are very active and pose a serious threat to the country’s political or economic stability. A civil war may be in progress and paramilitary or guerrilla forces may be in control of a significant area. Such a country might also be near or in the process of a military coup, be involved in violent regional disputes with its neighbors, or exhibit prejudicial treatment of foreigners. Stringent security precautions are required in high-risk countries. (see CARE Safety and Security Handbook) ACTIONS CONTINGENCY PLANNING In addition to Level I and II actions: • Management to liaise with and to notify the appropriate National Headquarters, local donor representatives and donor Head Offices of suspension of activities. • Remain behind national staff will be identified to represent CARE if the situation deteriorates. • The majority of national staff to remain at home or be removed with or without dependants to home of record under status to be determined by the CD. • Letter sent to staff who have been stood down to clarify their status and entitlements. • Vehicles not in use will be immobilized or sent to another sub office /Country. • All vehicles retained in use to be guarded 24 hours, packed with essential items for quick evacuation, wheel /gear shift locks used to immobilize the vehicle when not in use. • Field activities will be suspended or reduced to the minimum level capable of being maintained by a “remain behind party” of senior key national and international staff. • Composition of a “Remain Behind Party” is confirmed. • CD may begin to transfer assets and equipment out of the country or region or into storage facilities as agreed by "Draw Down Contingency" contracts. • All International staff and dependants (except those comprising part of the remain behind party) will be evacuated. The CD will approve all evacuations and staff duty status. • Remain behind party prepares essential files and documents for short notice evacuation. The CD should keep a list of files and documents and their location and forward copies to the national headquarters and the appropriate RMU. • Financial records and program reports sent to the National Headquarters. • Prepare records and equipment deemed highly sensitive such as incident tracking data, HR records, finance data or security records for destruction. • Confirm detail of evacuation routes, assembly areas and evacuation means with staff and HQ. SEVERE RISK LEVEL (IV) Countries or regions where the level of violence presents a direct threat to the safety and well being of humanitarian aid workers. Ongoing operations are not possible and security cannot be reasonably assured, requiring the temporary suspension of operations, relocation of international staff, and additional precautions for national staff. ACTIONS CONTINGENCY PLANNING All remaining assets and vehicles remaining in the country office possession will be turned over to the contracted “holding agency” (if appropriate) in accordance with contractual agreements. • If appropriate, letters sent from the CD advising government authorities in all locations of the organization's intention to close an office or the mission. • The Country Director will terminate all contracts and agreements. • Remaining national staff in the “remain behind party” will be formally notified by the CD in writing, of the closing of the office and the organization "stay behind" representative(s) empowered as far as necessary or possible. • All staff not previously released will be placed on administrative leave. • All severance and termination benefits as per staff contracts will be paid. • Closure of a sub office will require termination or redeployment of staff and assets, cessation of leases and reporting to donors and the appropriate national headquarters. Appendix C – Evacuation/Relocation/Hibernation Plans (INSERT EVACUATION/RELOCATION/HIBERNATION PLANS.) Appendix D – Medical Evacuation Plan (INSERT PLAN FOR EVACUATING A STAFF MEMBER OUT OF THE COUNTRY FOR MEDICAL TREATMENT. INCLUDE TRANSPORATION METHOD AND DESTINATION.) Appendix E – Natural Disaster Responses (LIST NATURAL DISASTERS AND INCLUDE PROCEDURES FOR DEALING WITH EACH TYPE.) Appendix F – Civil Unrest Response Plans (INSERT RESPONSE PLANS FOR DEALING WITH CIVIL UNREST. INCLUDE DIFFERENT TYPES OF UNREST WITH APPROPRIATE RESPONSES FOR PROTECTING STAFF AND ASSETS FROM HARM OR LOSS UNDER EACH CIRCUMSTANCE.) Appendix G -Facility and Building Vulnerability Checklist Area/Office: Date: Prepared by: ________________________________________________________________ Use this checklist to help you identify vulnerabilities in residences, offices, warehouses, and other facilities. • Use a separate checklist for each facility. • Check an item if the condition described is true. • Some items have arrows following the description, which means they apply to higher risk levels (⇑ = medium risk level, ⇑⇑ = high risk level, ⇑⇑⇑ = extreme risk level). • If an item isn't applicable, draw a line through it. Items that aren't checked are potential vulnerabilities and should be addressed. ________________________________________________________________ Residences  Each residence has two possible exits (usually through a front and back door).  All exterior doors and windows are secure and can be locked from the inside.  Outside doors to basement and service areas (laundry, storage rooms, etc.) can be locked.  Trapdoors in the ceiling (including skylights) or floor can be locked.  Exterior doors have a way to see visitors without fully opening.  Outside lights can be turned on from the inside.  The area around house or compound is free from hazards, such as holes and exposed wires.  When located in a walled compound a lightweight ladder is available inside the compound to allow escape.  There is a good view of approaches to house.  There is no place in yard for intruders to conceal themselves.  There is no access to roof or compound from neighboring houses or buildings.  Windows and exterior openings are screened to prevent insects and animals from entering.  Area around the residence has limited access for foot and vehicle traffic. ⇑  Yards or compounds with fences or walls are kept free from overhanging branches or thick bushes. ⇑  Exterior lighting is installed, with all fixtures and cables protected from tampering. ⇑  Exterior light switch is accessible from inside the residence and at the entry to the compound or yard. ⇑  External electrical, gas and telephone boxes are protected by locked or tamper-proof covers. ⇑  Windows are fitted with bars or grates as appropriate. Metal doors or screened barred doors installed. ⇑  Residence isn't located near a market area or host nation military compound. ⇑  Residence has secure parking. ⇑  Keys are carefully controlled. No duplicates made without approval. ⇑  If available, motion sensors are installed for exterior lights. ⇑⇑  Residence is near embassy, UN facility or clustered with other NGOs. ⇑⇑  International staff member has provided a key to the residence to the Country Office for use in an emergency. ⇑⇑  Residence keys are kept in a secure location with restricted access.  Radio equipment, if present in residence, is protected from damage and theft. ⇑⇑ ı Fire extinguishers and smoke detectors are installed and routinely checked to ensure they are in working order and readily accessible. Apartments (Residence checklist also applies)  Preferably located on the second floor (to deter crime) and not higher than the capability for the local fire brigade equipment to reach (usually below the seventh floor). ı Apartment is not easily scaled or accessible through balcony, trellis or drain pipe.  There is a guard or secure lock at the entryway.  Entryway is well lit and in good repair.  There is a fire escape or other alternative method of exit.  When present, stairways and elevators are well lit. Offices (Residence checklist also applies)  Fire extinguishers and smoke detectors are installed and routinely checked to ensure they are in working order and readily accessible.  Staff is trained in fire and building evacuation procedures.  Office evacuation procedures and routes are posted.  Someone is responsible for securing all windows, doors, exits, and entrances at the end of each day.  Office smoking area is designated and an appropriate cigarette disposal container provided. Separate trash containers, clearly labeled, are installed in the area.  Electrical devices and cords are free of damage that may pose a shock hazard.  Outlets do not have excessive number of devices plugged into them.  All documents of a sensitive nature are put away in an area with controlled access at the end of each day. (Political-or security-related materials should be kept separate from other files and access restricted.)  Office safes, when used, are securely affixed to the floor and inspected at the end of each day.  Office is arranged so that unescorted visitors remain under the receptionist’s observation.  All visitors are logged and follow proper access control procedures.  Critical equipment is protected from damage. ⇑⇑  If more than one generator is present, the back-up generator is separated from the main unit. All units protected with sandbags. ⇑⇑  Fuel drums protected with sandbags.  If fuel, oil, or other flammable substances are kept inside the compound, they are stored in remote areas and below ground level if possible. ⇑⇑⇑ ı Windows are coated with shatter resistant window film. ı Computer data is regularly backed up and back-ups are kept in a separate, secure place. Warehouse/Industrial Facilities (Residence checklist also applies)  Fire extinguishers and smoke detectors are installed and routinely checked to ensure they are in working order and readily accessible.  Staff is trained in fire and evacuation procedures.  Exterior doors and windows can be locked and are inspected at the end of each day.  A system is in place to regularly inspect the interior and exterior of the facility.  Warehouse and facility personnel understand security measures and appropriate responses, and know emergency contact personnel.  Key access is controlled and duplicate keys are not allowed without approval.  Access to storage areas for relief supplies and equipment is restricted to authorized personnel.  A list of persons authorized admittance to the storage facility has been published and is displayed at the entryway to each storage area.  Warehouse and ground floor windows, particularly those near the ground or accessible from adjacent buildings, have been barred or grated.  Outdoor trash containers and storage bins are located away from the building.  Janitorial closets, service openings, and electrical closets are kept locked at all times.  Tree limbs and natural and man made protrusions over the fence or wall have been removed or blocked.  There is alternate communication between the warehouse and the administrative offices in case the primary communication system fails.  Access to the warehouse complex can be physically restricted to watchmen. ⇑  Outdoor openings, such as air vents and utility access points, have been covered, locked, or screened. ⇑  Exterior floodlights and iron grills or bars for windows are installed and maintained. ⇑⇑  If possible, the facility is protected by high perimeter fence or wall and a comprehensive external lighting system. ⇑⇑  There should be more than one exit from the compound. ⇑⇑ Building and Facility Disaster Preparedness  Residences and offices meet existing local building and safety codes.  Consideration has been given to local disaster planning measures, such as for floods or earthquakes.  Gas and electrical cut-off switches are accessibly located and clearly marked.  Emergency lighting is in place. (Can be flashlights or installed lights)  Residence has emergency items per Country Office policies. ⇑  Water tanks, if used, are located inside the compound with locking lid if possible. ⇑⇑  Electrical generator is installed as a secondary power source if possible. ⇑⇑  If possible a properly equipped, interior safe room is established in the building for use in case of crime, an attack or an emergency. ⇑⇑  Safe room should be supplied in accordance with the Disaster Preparedness Plan or other Country Office emergency plan. Safe room requirements:  Has a strong solid steel door and steel frame, not bars or grillwork.  Two methods of exit (if possible).  Has peephole on doors to view other side.  Exterior windows barred with one hinged for emergency exit.  Has method for communicating with the Country Office and local authorities (usually radio, cellular phone, or satellite phone, with landline only as a last resort).  Located in a basement, only if the basement has been reinforced for use during disaster.  Has sufficient food, water and supplies for five days or more for the expected number of occupants as directed by the Country Office.  If over two floors from ground, has rope or ladder for emergency exit. This checklist is designed to provide a Safety and Security Focal Person with guidelines for assessing their own safety and security situation. It is not intended to be a “how to list” and is not all-inclusive. Use common sense and good judgment. What is appropriate for one area may not be so elsewhere. Appendix H -Fire Safety Checklist Area/Office: Date: Prepared by: ________________________________________________________________ Use this checklist to help you identify fire safety vulnerabilities in residences, offices, warehouses, and other facilities. • Check an item yes or no. • Fill in information where asked. • If an item isn't applicable, draw a line through it. After you've completed the checklist, review it for issues that should be addressed. ________________________________________________________________ Are fire extinguishers available?  Yes  No If so, how many? Locations: Are smoke detectors being used?  Yes  No If so, how many? Locations: Is the following fire fighting equipment available? Sprinkler system  Yes  No Portable extinguishers  Yes  No Hose reel  Yes  No Standpipe  Yes  No Other _____________  Yes  No When was the fire equipment last inspected? Does a fire plan exist?  Yes  No When was it last updated? _______________ What was the date of the last fire drill? _______________ Are building fire escape route(s) posted?  Yes  No Describe the type of emergency lighting for interior escape routes: Describe any alternate escape devices, e.g., ladders, rope, etc.: What was the date of the last fire? Was proximity to a local fire station a consideration when leasing space?  Yes  No What is the approximate response time to the office by fire officials? Has the staff received any fire extinguisher training?  Yes  No This checklist is designed to provide a Safety and Security Focal Person with guidelines for assessing their own safety and security situation. It is not intended to be a “how to list” and is not all-inclusive. Use common sense and good judgment. What is appropriate for one area may not be so elsewhere. Appendix I -Telephone Bomb Threat Checklist Should you receive a threatening bomb call try your best to remain calm and follow these instructions. -Switch on tape recorder (if connected) -Tell the caller which city /district you are answering from -Record the exact wording of the threat: ________________________________________________________________ ________________________________________________________________ Ask the following questions: -Where is the bomb right now? _______________________________ -When is it going to explode? _______________________________ -What does it look like? _______________________________ -What kind of bomb is it? _______________________________ -What will cause it to explode? _______________________________ -Did you place the bomb? _______________________________ -Why? _______________________________ -What is your name? _______________________________ -What is your address? _______________________________ -What is your telephone number? _______________________________ _ Record time call completed: _______________________________ Where caller identification/automatic number reveal equipment is available, record number shown: _______________________________ Inform your supervisor -Name and telephone number of the person informed: _______________________________ Contact the police. Time informed:_________________ The following part should be completed once the caller has hung up and your supervisor and the police have been informed. Time and date of call: _______________________________ Length of call: _______________________________ Number at which call was received (i.e. your extension number): _______________________________ ABOUT THE CALLER Sex of caller: _______________________________ Nationality: _______________________________ Age: _______________________________ THREAT LANGUAGE (check appropriate) Well spoken? Irrational? Taped message? Offensive? Incoherent? Message read by threat-maker? CALLER'S VOICE (check appropriate) Calm? Crying? Clearing throat? Angry? Nasal? Slurred? Excited? Stutter? Disguised? Slow? Lisp? Accent? If so, what type?______________________________ Rapid? Deep? Hoarse? Laughter? Familiar? If so, whose voice did it sound like? _____________________ BACKGROUND SOUNDS (check appropriate) Street noises? House noises? Animal noises? Crockery? Motor? Clear? Voice? Static? PA system? Booth? Music? Factory machinery? Office machinery? Other? (specify) _______________ OTHER REMARKS _______________________________________________________________ _______________________________________________________________ Signature _______________________________ Date _______________________________ Print name _______________________________ Appendix J -Transportation Program Vulnerability and Information Checklist Area/Office: Date: Prepared by: ________________________________________________________________ Use this checklist to help you identify vulnerabilities in your organization's transportation program. • Check an item yes or no. • Fill in information where asked. • If an item isn't applicable, draw a line through it. After you've completed the checklist, review it for safety or security issues that should be addressed. ________________________________________________________________ Vehicle Management How many vehicles does the office have? (attach a list of vehicles by year, model, type, and mileage) Are vehicles garaged centrally?  Yes  No How is garage/parking area secured? How are vehicle keys controlled when not in use? Are vehicles operated on a pooled basis?  Yes  No Are vehicles assigned on a trip-by-trip basis?  Yes  No Are vehicles operated by direct-hire employees only?  Yes  No Vehicle Records • Is a vehicle file maintained for each vehicle?  Yes  No • Does the file include copies of records, reports, and other documentation related to that vehicle?  Yes  No • Is a Vehicle Maintenance Record for each vehicle in the file?  Yes  No • Is this record updated whenever maintenance is performed or maintenance expenses are reported?  Yes  No How are vehicles repairs and maintenance recorded and tracked? Vehicle Logs • Is a Daily Vehicle Log for each vehicle on file?  Yes  No • How long are the log sheets kept on file? ________________ • Is a log carried in each vehicle?  Yes  No • Is a log maintained by each operator as the vehicle is used?  Yes  No • Who is responsible for reviewing the log? _________________ • Do the reviewers include staff members responsible for: (1) initiating vehicle repairs; (2) billing for authorized, non-official use; and (3) maintaining the vehicle maintenance record?  Yes  No  Yes  No  Yes  No • Does the log include: • Name and title of person authorizing use?  Yes  No • Vehicle identification?  Yes  No • Date of use?  Yes  No • Trip beginning and ending locations?  Yes  No • Time of trip beginning and ending?  Yes  No • Odometer reading at trip beginning and ending?  Yes  No • Have any vehicles been stolen?  Yes  No • If yes, did the FOD submit a theft report to the headquarters?  Yes  No • Are vehicles equipped with anti-theft devices?  Yes  No Vehicle Safety Does each vehicle have: • First aid kit?  Yes  No • Emergency kit (Flares, Cables, etc.)?  Yes  No • Fire extinguisher?  Yes  No • Two way radio?  Yes  No • Cell phone?  Yes  No • Other equipment (Shovel, pick axe, san ladder)?  Yes  No If an "In Case of Accident" card is used, are instructions listed to: • Who to call to report the accident?  Yes  No • Alerting staff members not to leave the scene of the accident except to call for medical assistance or the police?  Yes  No • Proceeding to the nearest police station if remaining at the scene is too dangerous?  Yes  No • Render medical assistance if competent to do so?  Yes  No • Make no statements concerning fault in the accident?  Yes  No • Location of first aid manual?  Yes  No Instructions in case of accident that includes: • Names and addresses of all persons involved in the accident?  Yes  No • License plate number?  Yes  No • Operator's license numbers for vehicles and drivers involved?  Yes  No • Names and addresses of insurance companies?  Yes  No Does the office have a driver safety manual?  Yes  No Has each driver received a copy?  Yes  No Has each driver received orientation/training?  Yes  No If yes, by whom? _____________________________________ What kind of training? _________________________________ Motorcycles and Bicycles Are motorcycles or bicycles provided for official use?  Yes  No Are helmets provided?  Yes  No Are vehicle files maintained for motorcycles and bicycles?  Yes  No This checklist is designed to provide a Safety and Security Focal Person with guidelines for assessing their own safety and security situation. It is not intended to be a “how to list” and is not all-inclusive. Use common sense and good judgment. What is appropriate for one area may not be so elsewhere. Appendix K -Communications and Information Systems Vulnerability Checklist Area/Office: Date: Prepared by: ________________________________________________________________ Use this checklist to help you identify vulnerabilities in communications and information systems • Check an item if the condition described is true. • If an item isn't applicable, draw a line through it. Items that aren't checked are potential vulnerabilities and should be evaluated. ________________________________________________________________ General Communications  Are organization communications systems adequate to meet needs and reduce risk?  Is organization staff able to contact each other when they are in their homes?  Is a current office contact list maintained and distributed?  Is a current contact list for other NGOs and the UN maintained? (Including name, organization, phone, fax, email, call sign and radio frequency)  Are your contact lists up to date?  Do all staff members receive training in the communications systems your office uses?  Has a warden system been established?  Has your warden system been successfully tested twice within the past year? ı Were last test results analyzed and documented? Can you access the reports? Telephone (landline)  Is telephone service always reliable?  Does it permit contact with all organization offices/facilities in the country?  Does it permit international links (area office/international headquarters)?  Is there a backup communications means? (radio network or satellite phones) Telephone (cellular)  Is telephone service always reliable?  Does it permit contact with all organization offices/facilities in the country?  Have areas with no or poor cellular coverage been identified?  Does it permit international links (area office/international headquarters)?  Is there a backup means of communication? (radio or satellite phone)? ı Does the phone have text message capability? ı Can you access the Internet or email by phone? Radio If a VHF system is used:  Does it cover the whole town?  Is there access to a repeater?  If using a base station, is the installation reliable?  Is there at least one radio per international staff and others assigned to key staff (drivers, financial controller, etc.)?  Are there enough batteries and chargers to enable everybody to have an operational radio for a 24-hour period?  Are there spare parts?  Is there a backup power supply? (generator, 12-volt batteries, solar panels)  Is there at least one frequency for calling and one frequency for conversation?  Does the office have a list of other NGO and UN radio frequencies? Have they been tested?  Does the office maintain a contact list of other organization staff? (Name/organization, call sign, frequency)  Does staff receive a training to use the radio equipment?  Is there a radio check-in procedure? What time, which frequency?  Is there a procedure if someone misses the radio standby?  Is there a need for a radio operator?  Are rules of conversation respected?  Is communication equipment registered with and authorized by the appropriate ministry?  Are frequencies officially authorized by the appropriate ministry?  Is authorization to communicate effective for all organization field sites in the country?  Is there on-going maintenance of the equipment? Satellite  Is the installation reliable, properly oriented to satellites?  Is there a backup power supply?  Is the equipment properly maintained?  Has staff received training to use and maintain the equipment?  Is the equipment registered with the appropriate ministry?  Is your organization authorized to use the equipment?  Is the authorization effective for all organization field facilities in the country? Information Systems  Are sensitive records and documents kept in locked file cabinets or drawers?  Are sensitive records and documents secured at the end of the day (not left on desks)?  Are sensitive records and documents disposed of properly?  Is critical data being backed up offsite?  Is there a disaster recovery plan?  Is virus protection software being used for all computers?  If staff has access to organization resources over the Internet, is a strong password policy in place?  Are hard drives formatted before surplus computers are disposed of?  Have staff members who use computers received training on basic security practices? Loss Prevention  Is an inventory control system being used to track communications and information system equipment?  Are asset identification tags or some other form of marking that identifies the equipment as belonging to your organization being used?  Is there a loss prevention policy for laptops, radios and other valuable information and communications equipment in your office’s standard operating procedures? This checklist is designed to provide a Safety and Security Focal Person with guidelines for assessing their own safety and security situation. It is not intended to be a “how to list” and is not all-inclusive. Use common sense and good judgment. What is appropriate for one area may not be so elsewhere. Appendix L -Personnel and Administrative Vulnerability Checklist Area/Office: Date: Prepared by: ________________________________________________________________ Use this checklist to help you identify personnel and administrative vulnerabilities. • Check an item if the condition described is true. • Some items have arrows following the description, which means they apply to higher risk levels (⇑ = medium risk level, ⇑⇑ = high risk level, ⇑⇑⇑ = extreme risk level). • If an item isn't applicable, draw a line through it. Items that aren't checked are potential vulnerabilities and should be addressed. ________________________________________________________________ Training/Briefing  A safety and security orientation program is in place for each new staff member and official travelers.  All staff members receive security training appropriate to their position and level of responsibility.  Staff family members receive appropriate security training prior to their assignment or immediately upon arrival.  Periodic safety and security training and briefings are completed for office staff and recorded in the appropriate office and personnel files.  All new staff receives briefings on the office evacuation plan, the disaster preparedness plan, and other security policies and procedures. ı Staff involved in critical incident (accident, victim of crime, evacuation) are debriefed and offered appropriate support.  Staff is debriefed when leaving their job. ⇑ Administrative Procedures  A Record of Emergency Data (RED) is on file for each staff and family member.  Appropriate emergency contact numbers have been posted. The notification system is tested regularly.  Background checks are conducted on all prospective hires. ⇑⇑ Family Members  International staff family members are registered with the appropriate embassy.  All family members are briefed on the office’s safety and security procedures and guidelines, including medical emergency response, medical evacuation and crisis evacuation. Visitors  Visitors check in with the appropriate embassy upon arrival.  Visitors are lodged at approved hotels or guesthouses.  Visitors are provided with emergency contact information including phone numbers of key local and international staff.  Visitors are provided with an information packet or orientation brief immediately upon arrival.  Country Directors determine whether in-country visits are appropriate and if so, the travel criteria and appropriate travel locations. ⇑  The number of in-country visitors is closely monitored and limited as required. ⇑  Visitors maintain contact with the appropriate office when visiting remote project sites. ⇑  Publicity and press coverage is limited prior to and during group visits as appropriate. ⇑⇑  Visitors (including visiting staff) receive instruction in safety measures, alarm systems, guards, and emergency and evacuation plans. ⇑⇑  Visitors are equipped with, and instructed in the use of, all appropriate communication equipment. ⇑⇑  Night travel for unescorted visitors is prohibited. ⇑⇑  Visitors are instructed to vary their daily schedule and routes. ⇑⇑  Travel is restricted to essential work and must include frequent radio check-in when out-of-area. ⇑⇑ Cash Handling and Transfer  Secure methods for receipt, transfer and storage of cash established and appropriate staff are trained.  Country Office has designated staff members authorized and trained to withdraw and transfer cash. ı Large cash transactions at the bank are conducted in private.  Cash is transported by at least two individuals with cash divided between them. ı Cash is transferred in two vehicle convoy.  Travel routes and times is varied and disclosed only on an “as-needed” basis.  In-city transport is done by office vehicle, not public transportation.  Vehicles and drivers are changed periodically if possible.  Cash transfer to remote project sites is conducted by quickest and safest means possible to limit vulnerability.  When transporting large amounts of cash to project sites, a contingency plan is in place for travel delays. A location for safe custody of cash, particularly during an overnight stay, has been identified.  When a train is used for transport, cash-carrying staff arranges for sole occupancy of a separate, locked compartment if possible.  A safe is available immediately upon arrival at the final destination.  Staff understands that in the event of an attack they should never risk their lives to protect cash.  Staff members never make references to cash when communicating by radio and use code words as appropriate. Medical/Stress Management  Organization policies concerning sexual harassment, reporting procedures and consequences are posted or available, and all staff briefed.  Organization policies and procedures concerning stress management are posted or available, and briefed to staff.  Organization policies concerning post-incident stress management and psychiatric treatment are posted or available, and briefed to staff.  Office has a confidential system in place to identify personnel requesting or requiring counseling.  All national and international staff has access to proper medical care.  An emergency medical response plan is in place and all staff is capable of implementing it.  Medical evacuation procedure for international staff is in place and briefed to staff.  The different procedures and policies concerning medical care of national and international staff are discussed with staff.  International staff members have proper medical insurance, including evacuation insurance with clauses appropriate to potential risks, prior to assignment.  The staff is aware of confidentiality requirements while sharing medical information.  The staff has received training in HIV/AIDS awareness, first-aid (including CPR), and potential medical threats in the area, with refresher training provided as required.  As appropriate, a walking blood bank system is in place, with the blood type of all staff recorded on the Record of Emergency Data.  Staff has received all appropriate immunizations. Vaccinations and any preexisstin medical conditions are recorded on the Record of Emergency Data.  As appropriate, the water system for residences and offices has been tested for contamination, including biological, metal, and other harmful pollutants.  As a stress management measure, periodic time away from area is given to all personnel working in High or Severe risk areas. ⇑⇑ ı Stress coping skills are addressed in the hiring interviews for all staff being recruited to serve in High or Severe risk areas are. ⇑⇑ Guards  Guards have background checks. ı Guards can clearly articulate agency mission. ı Guards’ duties and responsibilities are clearly articulated.  Guards have received competency-based training to perform the tasks that are required of them (radio use, compound patrol, visitor screening and registration, intruder response, etc.).  Guards have necessary equipment to perform their duties (for example, flashlight/torch, whistle, radio or telephone, etc.).  Guards have access to shelter and toilet facilities.  Guards wear a uniform or some form of identifying clothing.  Random inspections (before or after office working hours) are conducted to see if guards are on duty.  Office policies that clearly describe levels of force guards may use under certain circumstances.  Guards are incorporated into office emergency drills. This checklist is designed to provide a Safety and Security Focal Person with guidelines for assessing their own safety and security situation. It is not intended to be a “how to list” and is not all-inclusive. Use common sense and good judgment. What is appropriate for one area may not be so elsewhere. Appendix M -Safety and Security Planning Vulnerability Checklist Area/Office: Date: Prepared by: ________________________________________________________________ Use this checklist to help you identify safety and security planning vulnerabilities. • Check an item if the condition described is true. • If an item isn't applicable, draw a line through it. Items that aren't checked are potential vulnerabilities and should be addressed. ________________________________________________________________ General  All staff clearly under safety and security roles and responsibilities and "chain of command."  Safety and security policies and procedures are followed by all staff members.  Staff members are aware of the risk level currently assigned to the country and/or office and understand what it means. ı Security matters are included in the senior management regular meetings. ı Safety and Security Focal Person’s duties and responsibilities are clearly stated.  An effort is made to cooperate with other humanitarian organizations and share safety and security-related information. Security Strategy and Planning  A conscious decision has been made on which of the three security strategies (acceptance, protection, deterrence) or combination of strategies the office should use.  All staff members know and understand which security strategies are being used.  Security strategies are reviewed periodically or when the circumstances warrant.  Safety and security thresholds have been identified that will change operating policy based on an incident or event. ı Staff at all levels are consulted in order to identify threats and vulnerabilities, devise mitigating strategies and develop policies and procedures as part of the security planning process.  A written safety and security plan is in place.  Staff are oriented to the safety and security plan and which the role they individually play in implementing the plan.  The safety and security plan is reviewed periodically or when circumstances warrant and revised appropriately. Evacuation  A current country evacuation plan is in place.  The impact of an evacuation (who gets evacuated, under what conditions, who decides, what happens to non-evacuated staff) is discussed frankly with national and international staff during the evacuation planning process.  The evacuation plan has been reviewed and tested within the past one year.  All staff members are aware of the evacuation plan and associated procedures.  Safety and security thresholds have been identified that will change operating policy based on an incident or event. Incident Reporting  An incident reporting system has been established and staff is briefed on procedures (reportable incident is clearly defined, reporting procedures and forms are in place, staff are oriented to their roles and responsibilities).  Incident reports are completed in a timely manner after an incident.  Incident reports are treated with confidentiality, transmitted by most secure means to appropriate regional and national offices, and stored with controlled access in the office.  An assigned staff member is responsible for reviewing incident reports and informing senior management of any trends. ı Incident report information is shared with partners and other organizations as appropriate. This checklist is designed to provide a Safety and Security Focal Person with guidelines for assessing their own safety and security situation. It is not intended to be a “how to list” and is not all-inclusive. Use common sense and good judgment. What is appropriate for one area may not be so elsewhere. Appendix N – Key Staff Contact List (INSERT KEY STAFF CONTACT LIST) Appendix O – Warden/Phone Tree (INSERT WARDEN SYSTEM PHONE TREE)