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NORTH CAROLINA DIVISION OF PUBLIC TRANSPORTATION <br />SYSTEM SAFETY PROGRAM AUDIT ASSESSMENT <br />REPORT OF FINDINGS AND CORRECTIVE ACTIONS <br />12 <br />Core <br />System Safely Program <br />Finding <br />Audit Recommendation: <br />Implementation Plan ofAction(s): <br />OPT response /actions as of Feb 6, 2015 @ <br />Response <br />Date <br />Element <br />Theimplemeutatiou plan shouldhein sufficient <br />March 2015 <br />Due <br />Closed <br />detail to - <br />a. Clearly demonstrate what actions have occurred <br />6.6 <br />Are procedures established to control access to secure transit areas including <br />D <br />No documented process in place. <br />Develop and implement a written security plan. Train <br />Updated Security/Emergency Plan added to 2014 -SSPP <br />OPT March 2015 update - A dispatcher now sits in <br />November 6, 2014 <br />vehicle operation? (Reference: Standard Operating Procedures SSPP -001 and <br />employees on the plan and document the training in the <br />Jan 7, 2015. NCDOT/PTD: Have procedures been <br />the foyer area with a direct line of sight of anyone <br />FTA 5310.1D) <br />employee training record. <br />established to control access to the facility? <br />eatering /exiting the building. When that persco is away <br />from their desk, the other offices can see when a person <br />enters/exits the building. The rear door to the building <br />remains locked. <br />6.8 <br />Are the facilities and/or transit vehicles monitored for security? (Refereace: <br />D <br />No documented process in place. <br />Develop and implement a written security plan that <br />Updated Security/Emergeicy Plan added to 2014 -SSPP <br />Vehicles are located in parking lot adjacent to OC- <br />November 6, 2014 <br />Standard Operating Procedures SSPP -001 and FTA 5310.1D) <br />includes procedures to monitor transit facilities and <br />. Jan 7, 2015. NCDOT/PTD: Are facilities and /or <br />Maintenance Facility. OPT March 2015 update - All <br />vehicles. Train employees oa the plan and document <br />transit vehicles monitored for security? <br />transit vehicles have cameras installed. Drivers <br />the training in the employee training record. <br />instructed to immediately contact dispatch if they have <br />any type of security issue. Procedures have been <br />established to monitor who enterers and exits the <br />facility. <br />6.11 <br />Is there a process in place for employees to identify and report suspicious people, <br />D <br />No documented process in place. <br />Develop and implement a written security plan that <br />Updated Security/Emergeicy Plan added to 2014 -SSPP <br />yes, 'Security Incident Report' is used for this purpose. <br />November 6, 2014 <br />activities, packages, devices, substances or vehicles? (Reference: FTD Standard <br />includes methods to identify and report suspicious <br />Jan 7, 2015. NCDOT/PTD: Has a method been <br />This fora is located in Safety DaWAcquisitioa/ <br />Operating Procedures SSPP -001 and FTA Circular 5010. ID) <br />people, activities, packages, devices, substances or <br />established to identify and report suspicious people, <br />Analysis section. OPT March 2015 Update - Incident <br />vehicles. Train employees on the plan and document the <br />activities, packages, devices, substances or vehicles. <br />reporting sheets have also been developed and operators <br />training in the employee training record <br />Have employees been trained oa the process and the <br />trained on their use. These sheets are generic and can <br />training documented in the employee training record? <br />be used to report multiple types of incidents to included <br />security. <br />6.12 <br />Are procedures in -place for employees to react to best protect th emselves aid <br />D <br />No documented process in place. <br />Develop and implement a written security plan that <br />Updated Security/Emergeicy Plan added to 2014 -SSPP <br />Included in 'Emergency Procedures' aniiiig. OPT <br />November 6, 2014 <br />their passengers in the case of an incident involving potential terrorist <br />includes procedures for employees to react to best <br />Jan 7, 2015. NCDOT/PTD: Have procedures for <br />March 2015 update - When drivers face any type of <br />activity/disruptive passengers? (Reference: Standard Operating Procedures SSPP <br />protect themselves and their passengers in the case of an <br />employees to react to best protect themselves and their <br />lineation activity they are to call the authorities and <br />001 and FTA Circular 5010.11y, <br />incident involving potential terrorist activity/disruptive <br />passengers been developed and employees trained. Has <br />then notify the dispatch office. If a passenger displayed <br />passengers. Train employees oa the plan and document <br />the training been documented in the employee training <br />disruptive behavior depending oa the offense they <br />the training in the employee training record. <br />record? <br />receive a verbal warning the first time, they along with <br />the sponsoring agency receive a written notice and it <br />they are disruptive a third time within a 12 month <br />period they will be suspended for a mimmum of two <br />weeks. If they become disruptive again within a three <br />month period they are suspended for three months. <br />Passengers displaying disruptive behavior after the three <br />month suspension may receive a longer suspension or <br />be barred from riding transit vehicles indefinitely. <br />Passengers committing physical assault, commuiicating <br />threats or damaging property maybe permanently <br />suspended <br />The deficiencies noted above until corrected indicate that your system is non - compliant with NCDOT policies. Corrective action must be taken by the given date to prevent further penalties or termination of your contract. Page 11 of 15 <br />