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Safety _ Security Plan Template

VIEWS: 1,893 PAGES: 58

									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
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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            The country office Emergency Evacuation Plan is up-to-date
      officer(s) or focal person(s)      and readily available.
      field security officers
      assigned.                           Emergency Evacuation Plan procedures and guidance for the
                                           office is published.
      All Records of Emergency
       Data (RED) for all staff are       All staff are knowledgeable of evacuation protocols involving
       kept updated.                       the country office.

      International staff family         "Draw Down Contingency Plan" for equipment and "stay
       members are registered with         behind" assets formalized and necessary contracts with any
       the appropriate embassy.            “holding agency” to include inventory lists are complete.

      All staff members are aware        The Country/Field staff officer in charge of evacuation
       of evacuation routes.               planning and operations is identified.

      The appropriate line of            A designated staff member is identified to be responsible for
       authority has been                  preparing, maintaining, and updating the evacuee manifest.
       established for staff in the
       country or region for              The country office policy concerning actions to be taken when
       security and safety issues.         national staff members request evacuation or political asylum
                                           has been briefed to all staff members.
      The Country/Field Office
       assembly areas and alternate       Procedures are in place and discussed with all staff
       assembly areas are                  concerning an international member of the staff who chooses
       identified, published and co-       to remain behind in the event of an evacuation.
       ordinated with UN, other
       NGOs, the ICRC,                    The country office has established procedures for evacuation
       diplomatic missions and             or other emergency action for national staff members and all
       appropriate military forces,        staff briefed.
    if applicable.
                                       Security wardens have been identified for the rapid
   Specific documents that             transmission of operational, security and evacuation
    must accompany the                  information through the whole staff. This includes staff being
    evacuating staff have been          evacuated and those remaining.
    identified. Consideration
    given to documents that            Confirm status of evacuation boxes in the country and field
    include reference to the            offices. Determine critical files to be carried in an evacuation.
    specific duties and pay             Ensure evacuation boxes are accessible, unlocked and empty.
    scales/salaries of national         Clearly mark files and items to be carried and copy key
    staff members and any               computer records.
    documentation that could be
    used against country office        All insurance policies concerning staff and assets are
    national staff members.             reviewed, updated and monitored on a regular basis.

   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
    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 fire-
    fighting, 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:
                                           International staff prepare an evacuation bag of no more than
      Weekly Threat Assessments            15 kg per person including food.
       are drafted and distributed
       to all staff.                       Consideration is given to allowing international staff to ship a
                                            portion of their house hold goods to their home of record or
      Movement and activities are          another location of comparable distance
       monitored. The benefit of
       all operations is measured          CD may arrange TDY for international staff if crisis is
       against the risk associated          expected to continue. The CD may instruct dependants and
       with implementation.                 non-essential staff to leave the country. Staff, either national
                                            or international, may be instructed to take annual leave or
      International staff review           Leave With Out Pay.
       their capacity to expand
       their short term sleeping and       Open-ended airline tickets are purchased for international
       eating capacities in their           staff and families.
       residences.
                                           If applicable, Corporate VISA Cards with a minimum debt
      Country Office keep its in-          limit of USD$4000.00 is provided to each international staff
       country bank balances at a           member.
       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
    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:                                Field activities will be suspended or reduced to the minimum
                                            level capable of being maintained by a “remain behind party”
      Management to liaise with            of senior key national and international staff.
       and to notify the appropriate
       National Headquarters, local        Composition of a “Remain Behind Party” is confirmed.
       donor representatives and
       donor Head Offices of               CD may begin to transfer assets and equipment out of the
       suspension of activities.            country or region or into storage facilities as agreed by "Draw
                                            Down Contingency" contracts.
      Remain behind national
       staff will be identified to         All International staff and dependants (except those
       represent CARE if the                comprising part of the remain behind party) will be evacuated.
       situation deteriorates.              The CD will approve all evacuations and staff duty status.

      The majority of national            Remain behind party prepares essential files and documents
       staff to remain at home or           for short notice evacuation. The CD should keep a list of files
       be removed with or without           and documents and their location and forward copies to the
       dependants to home of                national headquarters and the appropriate RMU.
       record under status to be
       determined by the CD.               Financial records and program reports sent to the National
                                            Headquarters.
      Letter sent to staff who have
       been stood down to clarify
       their status and entitlements.      Prepare records and equipment deemed highly sensitive such
                                            as incident tracking data, HR records, finance data or security
      Vehicles not in use will be          records for destruction.
       immobilized or sent to
       another sub office /                Confirm detail of evacuation routes, assembly areas and
       Country.                             evacuation means with staff and HQ.

      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.
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               If appropriate, letters sent from the CD advising government
   vehicles remaining in the               authorities in all locations of the organization's intention to
   country office possession will be       close an office or the mission.
   turned over to the contracted
   “holding agency” (if                   The Country Director will terminate all contracts and
   appropriate) in accordance with         agreements.
   contractual 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.

• 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).
• 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. 
• Windows are coated with shatter resistant window film.
• 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 Yes       No
     for:                                                    Yes     No
 (1) initiating vehicle repairs;                             Yes     No
 (2) billing for authorized, non-official use; and
 (3) maintaining the vehicle maintenance record?
        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     Yes   No
        police?
       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                 Yes        No
       accident?
       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?
• 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)?
• Does the phone have text message capability?
• 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.
• 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.
• Large cash transactions at the bank are conducted in private.
Cash is transported by at least two individuals with cash divided between them.
• 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 pre-
existing 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. 
• 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.
• Guards can clearly articulate agency mission.
• 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.
• Security matters are included in the senior management regular meetings.
• 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.
• 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.
• 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)

								
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