The URL can be used to link to this page

Departmental Continuity of Operations Plans (COOP) from Presenting DepartmentsCopyrighted April 22, 2020 City of Dubuque Work Session - Bottom # 10. ITEM TITLE: SUMMARY: SUGGESTED DISPOSITION: ATTACHMENTS: Description Informations Services COOP Plan City Manager's Office COOP Plan Human Resources COOP Plan Health Services COOP Plan Human Rights COOP Plan Library COOP Plan Departmental Continuity of Operations Plans (COOP) Updates and Presentations • Information Services • City Manager's Office • Human Resources • Health Services Break for Questions from the City Council • Human Rights Department • Library • Airport • Finance Department Break for Questions from the City Council • Housing & Community Development Department • Transportation Services • Leisure Services Break for Questions from the City Council • Emergency Communications • Police Department • Fire Department Break for Questions from the City Council • Water Department • Water & Resource Recovery Center • Public Works Department Break for Questions from the City Council Type Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Airport Coop Plan Finance Department COOP Plan Housing and Community Development COOP Plan Transportation Services Coop Plan Leisure Services COOP Plan Emergency Communications-911 COOP Plan City of Dubuque Police Department COOP Plan Fire Department COOP Plan Water Department COOP Plan Water and Resource Recovery Center COOP Plan Public Works Department COOP Plan Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Information Services Department Date 4/15/2020 Updated Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Information Services Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Information Services Department Manager. Page 1 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Section I. Essential Functions/Services Prioritized Listing of Essential Functions for Information Services Department Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Information Services Ensuring Enterprise Voice and Data Communications are functional and error- free I 'AAA Senior Network Administrator, Lead Application/Network Analyst, IS Manager, CEC, Wired and wireless communications infrastructure, network devices (switches, router, firewall),) user end point devices (desk phones, and Vendor support NCS, Racom, WIN, ImOn, CS Tech, Engineering - Traffic Information Services Ensuring Enterprise Communication applications such as e- mail are functional and error -free AM Senior Network Administrator, IS Manager, CEC, WIN, ImOn, Microsoft Internet Services, applications (Shoretel, network monitoring) Access to Office365 Cloud, Vendor Support Information Services Ensuring Critical Enterprise Systems — defined as Public Safety, Public Health, Emergency Management and Financial/Billing/Payroll, Databases, Applications, Laserfiche document management, equipment for printing, scanning and mail processing are accessible, functional and error -free AA IS Manager and all IS Staff, CEC, NCS, Printer and Mail Equipment vendor Critical Systems Applications housed at City Hall Annex, DLEC, City Hall and EOC; Printer and mailing equipment City Hall, servers, network connectivity, internet connectivity, forms — bills, checks, and envelopes Information Services Department Payroll Processing A User Technology Specialist/IS Manager Timesheets and payroll software Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Information Services Ensuring Important B IS Manager and all IS Important Systems Enterprise Systems are functional and Staff, CEC, NCS, Printer and Mail Applications housed at City Hall including Printer error -free— Equipment vendor and mailing equipment "Important" systems are defined as any that aren't defined as "Critical." These systems may become "Critical" defined by the emergency. City Hall Annex servers, network connectivity, internet connectivity, forms — bills, checks, and envelopes Page 2 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Commented [CBI]: Fill in AAA (highest), AA, or A for each Commented [CK2R1]: done Information Services Performing Network maintenance and Security Updates including security patches, updating and troubleshooting B Senior Network Administrator Lead Application/Network Analysts, City Hall Annex/City Hall/DLEC servers, network connectivity, internet connectivity Information Services Performing End Point (Computers, Tablets) Support so equipment is functional and error -free B All IS staff Computers and Tablets Located within City Facilities Information Services Performing End Point (Computers, Tablets) setup, deployment and support for remote (displaced) workers B All IS Staff Spare Desktop and Laptop Computers, printers, wireless access cards, spare tablets, spare phones, internet access Information Services Performing endpoint maintenance and deployment of surveillance cameras and software B Racom/Lead Applications/Network Analyst Cameras, Software, Connectivity, Internet Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Information Services Installation of new software C All staff City Hall Annex or DLEC Con premise servers or Cloud Information Services Installation of new hardware C All staff City Hall Annex or DLEC Data Centers Information Services Installation of new data communications (broadband) C IS Manage/Engineering 1 Traffic/ImOn Information Services Providing support for Electronic Signs, kiosks and information bulletin boards so devices are functional and error -free C IS Manager/Lead Application/Network Analyst Electronic signs, kiosks, information bulletin boards, transit informational signs, connectivity Information Services Providing Training for applications and issues C Help Desk/IS Manager Training Resources Resource Requirements Page 3 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Ensuring Enterprise Voice and Data Communications are functional and error -free • Ensuring Enterprise Communication applications are functional and error -free • Ensuring Critical Enterprise Systems are accessible, functional and error -free. "Critical" is defined as Public Safety, Public Health, Emergency Management and Financial/Billing/Payroll, Databases, Laserfiche. Depending on the emergency and circumstances of the continuity of operations additional systems mat be deemed "critical." • To maintain voice and data communications requires physical infrastructure (fiber optics, telephone circuits, low voltage wiring) network firewall, network switches, and power to function and be error free. • Network monitoring software and staff/vendors with network troubleshooting skills to respond to issues are required. • Ensuring Enterprise Communication applications are functional and error -free requires functional servers, databases, applications • Key personnel to perform maintenance of voice and data communications functions include Senior Network Administrator, Lead Application/Network Analyst, IS Manager. Vendors including CEC, NCS, Racom, WIN, ImOn, CS Technologies, CenturyLink, Verizon and US Cellular. Engineering — Traffic personnel could perform this function with vendors as back-up. • Physical infrastructure (fiber optics, telephone circuits, network firewall, network switches, low voltage wiring) along with services and power would be essential within 12 hours of any loss. • Enterprise Communication applications require Internet Services, functional applications (Shoretel, network monitoring) access to any cloud resources, monitoring systems and, Vendor Support • Critical Enterprise Systems are defined as Public Safety, Public Health, Emergency Management and Financial/Billing/Payroll, Databases, and Laserfiche. Each of these applications, requires access to servers, software, databases. Access to equipment for printing, scanning and mail processing must be accessible, functional and error - free • All non -critical functions can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Section II. Lines of Succession / Delegations of Authority 1 Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Key Positions & Lines of Succession Page 4 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Position Successor 1 Successor 2 Information Services Manager — Senior Network Administrator Lead Application/Network Administrator— City hall Annex and DLEC User Technology Specialist Information Technology Specialist Senior Network Administrator Senior Network Administrator Lead Application/Network Admins Information services manager All IS Staff Outsourced to Vendors Help Desk Public and private partners • Succession of Information Services Manager will take place in the event of death, incapacitation, voluntary temporary leave, resignation or removal from duty • Succession of User Technology Specialist will take place in the event of death, incapacitation, voluntary temporary leave, resignation or removal from duty • In the event of death, incapacitation, resignation or removal from duty of the entire IS staff vendor partners including CEC, NCS and Racom, Verizon, US Cellular would be contacted to manage critical infrastructure (Voice, Data and Server) Desktop helpdesk functions would be shared with vendors and Public and Private IS personnel if available. • Successor(s) is(are) notified by phone or in person • Terminating conditions would include return to duties or permanent reassignment of duties/rehiring of staff Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Information Services Manager Decision Maker for all critical, important and non- essential functions Senior Network Administrator Incapacitation or unavailability of the Manager None Senior Network Administrator Decision maker for network security, server and applications Lead Application Network Analysts Incapacitation or unavailability of the Senior network Administrator Security, applications and purchasing decisions Section III. Alternate Operating Facilities & Service Delivery Alternate Operating Facilities In the event of the loss of City Hall Annex — The data center of the Dubuque law Enforcement Center (DLEC) would become the main Data Center for "Critical" and "Important" enterprise systems. Staff would work at home to the greatest extent possible. If homes were destroyed or non -available, alternate operating facilities with secure access to house up to 7 staff, with high speed Internet and network connectivity would be required. Fire suppression system, back-up power generator, handicapped accessible, multiple ingress/egress points would be required. The EOC is the preferred site if it is unavailable then co -location at public or private data center would be the alternate site. Page 5 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations > Alternate Service Delivery Remote service delivery would be accomplished by work from home or from an alternate site. Flex shifting with 24x7 on -call is instituted. Remote control capabilities would be used to provide troubleshooting assistance to all work from home and work from alternate locations. Section IV. Interoperable Communications ❖ The most critical systems include support of voice and data communications as well as data repositories. By design voice and data systems can be accessed remotely so critical communications would be transferred using built-in capabilities to re -program and modify how calls are taken or data is routed. Data s replicated between DLEC and City Hall Annex so data from each site would backup the other site. Databases would be recovered at the alternate site. ❖ Interoperable communications between the department's staff, management, and essential internal and external staff would be accomplished by the following: ➢ Use of E-mail communication using Office365 along with Teams, SharePoint, Intranet ➢ Update Shoretel phone system modifying work groups and individual call handling functionality dependent on location and modification of service delivery ➢ Use notification features on phones, computers and e-mail for messages from Teams ➢ Deploying wireless access points to staff here internet and network connectivity is weak or not available ➢ Responding to needs for equipment (ie Work from Home Computers, Wireless Services Smart Phones, Tablets) ➢ Responding to needs for resource access and communication from alternate work locations including vpn, GoToMyPC, GoToMeeting, GotoWebinar, Openvoice conference calling ➢ To insure the highest quality and most available communication with other organizations, emergency personnel, critical customers and the public all essential personnel to Public safety preemptive and priority Cellular plans with unlimited data ❖ The procedure to access data and systems necessary to conduct essential activities and functions would be to: > Request Access to Tools GoToMyPC, GoToWebinar, VPN for Critical Users, cell phones, computers, tablets, Internet using WebQA ➢ IS will use RescueAssist software for remote control of WFH devices and PDQ for access to office devices Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will Page 6 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations minimize information and data loss. All data repositories at City hall Annex and DLEC would be considered vital. Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) All Databases, files electronic DLEC — City Hall Annex Replicate Section VI. COOP Implementation :• Phase I: Activation and Relocation • Activation of the EOC and circumstances indicating significant change in work location or operation • Group Text Message to staff indicating we are in EOC • On-line Meeting to brief staff on situation and Identify work location options • Identify if Work from Home (WFH) is an option • Assess critical infrastructure and system accessibility status at alternate locations • Choose location and relocate ❖ Phase II: Alternate Facility Operations • WFH staff are active with designated call-taker(s) • Determine process for deployment and checkout of equipment to be used at alternate facility • 24x7 on -call started with schedule in place • Alternate site(s) are outfitted with equipment • Equipment deployed to Work from Home staff with Agreement to Terms and Conditions (Appendix A) • Daily communication on status of work, issues and barriers to success • Update FAQ's and Training Information ❖ Phase III: Reconstitution and Return to Normal Operations ➢ Notification by text that we are clear to return ➢ Recovery of Shoretel operations back to non -emergency ➢ Reclaim licenses for GoToMyPC, GoToMeeting for staff not working from home ➢ Reclaim any equipment issued for Emergency WFH setups Section VII. Tests, Training and Exercises Page 7 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • Inclusion of COOP in IS new Employee orientation • Annual review of department COOP • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Refresher orientation of COOP staff Page 8 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Appendix A Temporary Equipment Loan Agreement Information Services has provided with a temporary laptop/Desktop/iPad/ iPhone for use during the Emergency. This is not a permanent device for you to keep. (Circle Each Checked Out) Laptops will come with a power supply and mouse. Desktop will have one 21" screen, keyboard, mouse, power cords, wireless card iPad will have a charger and lighting cable. iPhone will have a charger and lighting cable. Once the Emergency has passed, you will be required to return the temporary equipment back to Information Services within 5 business days unless other arrangements have been made. Information Services will send you an email when you should return it. I understand City of Dubuque rules governing technology use apply this device and that materials on the device are subject to a open records request under the Iowa Examination of Public Records law, Iowa Code, Chapter 22. Borrower: IS Staff: Date of Check out: Page 9 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque City Managers Office Date 4.1.20 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque City Manager's Office provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time - with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager. Section I. Lines Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department ■ Prioritize the Essential Functions as measured by time criticality. Page 1 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations • Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Prioritized Listing of Essential Functions for City Manager's Office Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Administration Administration of the organization AAA MVM/Goodmann + Burbach Reliable communication method (City cell phone, computer/tablet, email) Administration Payroll AA Schreyer, Valentine/Hilkin Computer/tablet, email, access to finance system Administration Processing of City Council meetings AAA MVM + Hilkin/City Clerk's Office + ACM Computer/tablet, access to internet for Novus Legislative Legislative correspondence AAA Goodmann/MVM Reliable communication method (City cell phone, computer/tablet, email) Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Administration Purchasing & other finance functions B Valentine/Schreyer Computer/tablet, access to network & finance system, Pcard Administration Citizen complaint /response B Burbach/Valentine Computer/tablet, phone, internet to access WebQA ideal Administration Key admin support- meeting scheduling, information support & research B Hilkin/Valentine + Schreyer Reliable communication method (City cell phone, computer/tablet, email), conference call room number list, access to network and LaserFiche system Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Administration Additional admin support- filing, scanning, etc C Hilkin, Valentine, Schreyer Computer + multifunction access and access to LaserFiche system will limit extent this can be completed Administration Organizational C Burbach/Stickfort Page 2 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations development (also, project - (training, specific leads process identified) improvement, etc) ❖ Identify Resource Requirements ■ Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. • Establish staffing requirements needed to carry out essential functions. • Identify key personnel and backups. • Identify staff from non -essential areas that can be cross trained to backfill essential functions. • Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc. to complete essential functions. • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Conditions City Manager ACM Goodmann ACM Burbach Successor will be notified via phone by predecessor unless not humanly possible. Change in leadership will be communicated to Mayor & CC by phone and dept managers, in writing. City Council could take action to re -assign responsibility if they chose. Additional line of succession: Finance & Budget Director, Human Resources Manager. If natural Page 3 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations disaster hit City Hall removing all of these individuals, department manager from a remote facility with tenure and experience managing large numbers of staff would be appointed by Mayor & City Council. Resources available from ICMA to support: Interim City Manager Toolkit + personal support Office Manager Secretary Secretary Schreyer Successor will be approved by City Valentine Manager and notified via phone by predecessor unless not humanly possible. ❖ Establish succession procedures • Conditions under which succession will take place • Method of notification ■ Terminating conditions Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Signing of contracts Financial City Manager or designee Authority delegated to department heads of Finance staff with written permission Contracts over $500,000 need City Council Approval Organizational operational changes (change in service, suspension of policies, closing of facilities) Emergency authority City Manager Authority remains with Acting City Manager. Authority may be delegated in writing to department heads for certain changes. Signing off on Payroll & POs Financial ACM Burbach If Burbach unavailable, City Manager or ACM can sign. Page 4 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations If neither available PIO can sign. Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats • Identify sufficient space and equipment to sustain the relocating organization • Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc) ■ Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning) ■ Provide for sustained operations within 12 hours and for a period of up to 30 days • Address considerations for the health and safety of relocated employees • Address physical security and access controls Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: None identified at this time _ Required: Structure / Facilities Weather proof Utilities Water, sewage, electricity (generator backup) Communications (Including Voice and Data Transmission Voice and data transmission lines are essential. Office phones can be forwarded to City and personal cells. Access to City Hall mail can be suspended temporarily but should be available within 1 week Most employees will require GoToMyPC to effectively function from non -network location. Access to City network Equipment and/or systems While not immediately necessary, ability to scan is preferred for long-term operations. This can be achieved using photo -taking on phones for emergency needs. Facility specific Emergency Response Plans, equipment (health and safety items) Fire suppression system, back-up power generator, handicapped accessible, multiple ingress/egress points Alternative Facilities: 1. City Hall 2. City Hall Annex 3. Multicultural Family Center Page 5 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations If natural disaster impacted this downtown "complex", Municipal Services Center and Emergency Operations Center would be next alternatives. City Managers Office would also coordinate all departments in City Hall and City Hall Annex were required to relocate for an extended period of time. Priority would be given to functions that needed a physical presence for community interaction, and facilities would be analyzed based on their access to walk-up public traffic and technology needs. Potential locations could include the Multicultural Family Center, Grand River Center, Five Flags Center, and Kennedy Mall. ❖ Alternate Service Delivery > Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. A. All employees have the ability to telework. Ability to work paperlessly will depend on guidance from Finance re: payroll, accounts payable, etc. B. All employees are able to work flex schedule hours with the approval of their supervisor, if applicable. Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. Phone, Office365 (portal.office.com), GoToMyPC, internet, network access to access FinPlus and LaserFiche. For management staff, radio communications can be used if phones are not available. Emergency Phone available in the City Manager's Office on office secretary desk to north (when computer system is down this phone will still work.). ❖ Address method of transferring/replicating critical communications at the alternate site Automated answer recording established in Shoretel to efficiently transfer calls to appropriate person ("Call Tree"). Phones transferred to other extensions/cell phones, Microsoft Teams & Sharepoint used for other communications. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. GoToMeetings or Open Voice Conference Room for organized meetings, including daily/regular CMO staff meetings if staff are not working in same space. Microsoft Teams chats & video calls for additional communication ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public With City Council: regular e-mail and phone updates as needed. With emergency personnel/department heads: phone, e-mail, and radio use. Burbach, Hilkin have GoToMtg admin accounts and can host virtual (phone and video) calls as needed. Open Voice conference call "rooms" are available for voice only meetings. There are conf rooms assigned to City Manager, Office Manager, Secretary, Office Specialist. ACM also has an Open Voice Conference call room. Page 6 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations With public: City website, social media, press releases, CodeRed if needed, mail if needed ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. GoToMyPC to access LaserFiche, network files, internet shortcuts & software Use internet to access: Novus for City Council Meetings, WebQA to process citizen requests Section V. Safeguarding Vital records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll Electronic LaserFische NO City Server Accounts Payable Electronic LaserFische NO City Server Accounts Receivable Electronic LaserFische NO City Server Employee Records Paper "personnel" file kept in CMO. Critical personal/HR records kept by HR Human Resources City Hall YES, department personnel files City Server CMO and Leadership Team contact list Electronic - OneDrive ACM hosts on OneDrive NO F: contact list accessibly by Burbach, secretaries CMO and all dept COOPs Electronic — Sharepoint>City of Dubuque Team site NO Administrative Policies www.citvofdubuqu NO e.org/codi Section VI. COOP Implementation Page 7 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation ■ Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. o General emergency directives come from City Manager and EOC operation o City Manager assesses necessity of changes in procedures — work in person at another location, telecommuting, prioritization of activities o In City Manager's absence, responsibility for decision -making lies with Assistant City Manager ■ Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. o City Manager will notify staff by group e-mail requesting immediate response, following up with text or phone call as needed. o Initial e-mail or phone contact will include instructions for reporting to work physically or remotely. ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. o Initial e-mail or phone contact will include instructions for reporting to work, including whether there will be staggered schedules, telecommuting, or special assignments based upon the nature of the emergency. o Staff will notify the City Manager by e-mail or phone of alternative schedules. o Staff will have Microsoft Teams open for communication through the duration of the event, and will be available by cell phone (voice and text) and e-mail. o If a staff member will be working telecommuting, they will make arrangements to forward their calls from their desk phone to their cell phone. o If the desk phone at 563-589-4110 cannot be staffed, calls to that line will be forwarded to the Secretary's cell phone. o If the event is anticipated to require extended day and weekend staffing, staggered schedules will be arranged. ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. • When situation is determined to be ready for normal operations, City Manager will notify staff through e-mail requesting response, following up with text or phone call as needed, regarding when and where to return to work. • Address notification procedures for all employees returning to work. • When situation is determined to be ready for normal operations, City Manager will notify staff through e-mail requesting response, following up with text or phone call as needed, regarding when and where to return to work. Page 8 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • Annual review of department COOP, and inclusion of COOP overview in orientation of all new CMO staff members • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • ACM will coordinate with Dubuque County Emergency Management Coordinator to ensure annual review of all departmental COOPs under the directive of the City Manager. Page 9 of 9 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Human Resources Department March 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Human Resources Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Human Resources Director. Human Resources Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Prioritized Listing of Essential Functions for Human Resources Department Prioritize the Essential Functions as measured by time criticality. Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Critical Functions Division/Activity/ Program Essential Function Priority Staff/Back-up Equipment/Data/Office Supplies Human Capital Establish Emergency Labor Pool & Credentialing process 1 SWEC/AII HR Staff Internet Computer (Device) SharePoint Email Phone Talent Acquisition/Human Capital Recruitment Process with focus on Essential Personnel 1 SWEC/Sec Blus Computer (Device) Internet NeoGov Online Recruitment flow Email Employment Offer letters, background checks (focus on essential personnel); credentialing 1 Director/Sec. Koppes Computer (Device) Internet Online Recruitment flow Email HR Shared Drive Benefits Critical and essential benefits counseling and services to employees 2 HR Assistant/All HR staff Computer (Device) Phone Internet Email Benefits Unemployment claim response 1 HR Assistant/Sec Blus & Sec. Koppes Computer (Device) Internet IWD online portal (access) Benefits FMLA guidance and processing 1 HR Assistant/ Sec Blus & Sec Koppes/City Attorney Office Staff Quann & Weston Computer (Device) Internet Intranet Phone Employee Relations Declaration & Statutory Interpretation; Responsive Guidance & Policy Development & Communication Strategies 1 Director/City Attorney's Office/Finance (Payroll)/Assist. CM Computer (Device) Internet Email Phone Page 2 of 10 Human Resources Employee Initial Payroll set up 1 Human Resources Computer (Device_ Relations and EE changes Assistant/Sec Internet (eFinancePlus) Koppes & Payroll staff within Finance Email Phone Department (e.g. Weideman, Ross) Important Functions Division/Unit/Program Semi- Essential Function Priority Staff/Back-up Equipment/Data/Office Supplies Administrative Support Invoice and payables processing 1 Secretaries Blus/Koppes Computer (Device) Internet FinancePlus Email Employee Benefits Life insurance death claim processing 2 HR Assistant/ Sec Koppes/Labor Pool Computer (Device) Secure shared F: Drive Internet HR Assist. Checklist Benefits FROI and referral 1-2 HR Assistant/Confidential Account Clerks in Police, Fire &/or Public Works, etc. Computer (Device) Internet Provider Portal Access Scanner or Camera Phone Non -critical Functions Division/Unit/Program Non -Essential Function Priority Staff/Back- up Equipment/Data/Office Supplies Learning and Development Training 1 All HR staff Except for Training Related to Disaster Specific Needs, this activity is suspended Talent Acquisition Job Fairs 3 Sec Blus & SWEC Activity is suspended Employee Relations Retirement Pages, Wellness Committee Initiatives, Non- essential policy review/development, employee performance guidance/assistance to department managers/supervisors, 2 All HR staff Activity is suspended; except gross employee conduct issues Page 3 of 10 Human Resources except gross issues or as mandated by federal or state law Records Employee personnel file filing 3 Sec Blus Activity is suspended Resource Requirements Identified- Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. ♦ Establish staffing requirements needed to carry out essential functions. ■ Identify key personnel and backups. ■ Identify staff from non -essential areas that can be cross trained to backfill essential functions. ■ Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc.to complete essential functions. ♦ Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. • Network data is backed up at the City Hall Annex. • Computer Access (Internet and Network Access) • Voice and Data (Transmission and Reception) • Employee Personnel Files are all paper copy at this time • Contracts for benefit providers are all paper copy at this time • WC claims, Insurance Claims, Unemployment Claims, Notification and New Hire documents, and credentialing are all being transitioned to electronic (non -paper) processes at this time. ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Page 4 of 10 Human Resources Key Positions & Lines of Succession Position Successor 1 Successor 2 Director Stickfort Strategic Workforce Equity Coordinator (SWEC) Dougherty Human Resources Assistant Noel SWEC Dougherty Secretary Blus Human Resources Assistant Noel) / Director Stickfort Human Resources Assistant Noel Secretary Koppes or Director Stickfort SWEC Dougherty Secretary Blus SWEC Dougherty Secretary Koppes Secretary Koppes Human Resources Assistant Noel Secretary Blus Succession procedures ■ Conditions under which succession will take place • Incapacitation (illness, injury, death) for greater than 10 days • Inaccessible or unavailable (communications out, out of area, familial conditions, grieving, travel) during the disaster event for greater than 10 days ■ Method of notification 1.Phone call or text, 2. Email or IM 3. Memo, as appropriate for timeliness 3. Drop/knock at door notification (memo or in -person) ■ Terminating conditions • When incapacitating or inaccessible condition resolves and hand-off is formally communicated. Authority delegation for making key policy determinations and decisions during a COOP event. Delegations of authority — who, by position, is authorized to make decision or act on behalf of the department director or other key individuals. Delegations of Authority Authority to be Type of Authority Position Triggering Limitations on delegated Holding Conditions Delegation Authority Hiring Review of Hiring Director Emergent Need; Must be within recommendation Process & Fed, State or legal and local to CM Recommendation Local emergency disaster policy authority at time of Page 5 of 10 Human Resources declaration or emergency operation and/or unavailable emergency and Director is not available Approval/Denial of Contingent Offer of Employment Offer contingent employment or final decision for hiring contingency issues Director Emergent Need; Fed, State or Local emergency disaster declaration or emergency operation Must be within legal and local policy authority at time of emergency and Director is not available Signature Limited for Contracts Director Emergent Need; Fed, State or Local emergency disaster declaration or emergency operation Must be within legal and local policy authority at time of emergency and Director is not available Signature or Approval Routine processes (e.g. time/attendance records, purchasing, payables, request of critical supplies or equipment related to emergency and/or COOP implementation) Director Fed, State or Local emergency disaster declaration or emergency operation Must be within legal and local policy authority at time of emergency and Director is not available Workers' Compensation Processing and payment approval Access and direct billing for workers' compensation activities Human Resources Assistant Emergent need, Fed, State or Local emergency disaster declaration or emergency operation Must be within legal, contract, and local policy authority at time of emergency Page 6 of 10 Human Resources Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities Identify an alternate facility capable of supporting essential functions, positions, and personnel. ■ Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats ■ Identify enough space and equipment to sustain the relocating organization ■ Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc) ■ Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning) ■ Provide for sustained operations within 12 hours and for a period of up to 30 days ■ Address considerations for the health and safety of relocated employees ■ Address physical security and access controls Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: Required: Telework/Working from the employee's home Equipment/Software & Application Access/Internet; virtual meetings, flexible shifts Multicultural Family Center Staff workspace; Wi-Fi or ethernet to Internet; computers (devices); utilities; network access Bunker Hill — Admin Space Staff workspace; Wi-Fi or ethernet to Internet; computers (devices); utilities; network access Library Staff workspace; Wi-Fi or ethernet to Internet; computers (devices); utilities; network access ❖ Alternate Service Delivery Alternative service delivery methods of essential functions if necessary in order to prevent spread of disease. ■ Guidance, tools or services needed from other county or government organizations to achieve social distancing ■ Establish regular messaging sites for staff (physical posting, CODI, interactive webinar ■ Identify the department's technology needs related to large-scale telecommuting. ■ Address considerations for flex shifting. ■ All meetings and communication with staff conducted electronically ■ Development of employee -related policies and/or procedures to implement federal, state, and/or municipal guidance Page 7 of 10 Human Resources Section IV. Interoperable Communications ❖ Critical communication systems that support the department essential functions. ➢ GoToMeeting; GoToMyPC, OpenVoice (logmein), telephone tree and ShoreTel forwarding ❖ Method of transferring/replicating critical communications at the alternate site ➢ Completed via IS guidance and support ➢ Employees will order needed work supplies using P-cards for delivery to their homes. ❖ Procedure(s) for interoperable communications between the department's staff, management, and essential internal and external staff. ➢ Daily Open voice call ➢ Each has a City issued and their own personal cell phones ➢ Email ➢ Cloud (SharePoint and Teams sites) ❖ Procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Go To Webinar > Open Voice Meeting ➢ Phone ➢ Email ❖ Procedures for access to data and systems necessary to conduct essential activities and functions. ➢ Critical access is through internet access ➢ Transitioning all provider billing/payment systems to electronic with access permissions for at least 2 Human Resources staff Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ➢ Emergency plans and Human Resources COOP which outlines succession, delegation of authority, staffing assignment, and contact information is stored in a binder in Director's office City Hall, on Human Resources Teams folder, file named HR COOP, and on HR Shared (F: Drive) in file named COOP. ➢ Administrative Policies and Procedures and Employee Manual are on CODI webpages Page 8 of 10 Human Resources ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ➢ Laserfiche ➢ FinancePlus ➢ HR Shared File (f:) ❖ Include provisions for classified or sensitive data ➢ Access limited to only those with delegated authority ➢ Review of confidentiality expectations; signed understanding and agreement to comply ❖ Identify location and accessibility to vital records ➢ Paper employee personnel files are in double -locked vertical personnel file closet within Sec Blus and Sec Koppes' office space. ➢ CBA's are on CODI and in binder in Director Stickfort's office (overhead locked shelf) ➢ Provider contracts are on shared F: drive or in paper files horizontal filing cabinets in Director Stickfort's office ❖ Include procedures for date back-up and restoration Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Emergency Labor Pool electronic Cloud site NA Shared F: Drive for Human Resources eFinancePlus electronic Auto -back up NA Employee Personnel Files Hardcopy Some are maintained with/in the employing department As needed No digitizing (vulnerability here) Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation ■ Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. Page 9 of 10 Human Resources ■ Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. ➢ Human Resources Group text ➢ Department calling tree ❖ Phase II: Alternate Facility Operations ■ Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. ➢ Communication methods established and shared v Initial assignments to make alternate sites operation and priority to establish communication systems ✓ Address basic utility needs — electric, internet, heat/cooling ➢ Address safety, security, and cleanliness ❖ Phase III: Reconstitution and Return to Normal Operations ■ Develop procedures for returning to normal operations. ♦ Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. ✓ If returning to regular facility — Department manager or designee will assure all systems functioning ✓ If changing to a different alternate site, see Phase II above. ♦ Address notification procedures for all employees returning to work. ➢ Individual text, phone, or email to direct personnel to return to normal or need to change locations as appropriate. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: ■ All HR employees were involved and provided input into development of the COOP ■ Annual review and update of department COOP with HR staff by HR Director ■ Annual department testing and exercising of COOP plans and procedures ■ Annual testing and updating as needed of emergency alert and notification procedures and systems ■ Refresher orientation of COOP staff Page 10 of 10 CONTINUITY OF OPERATIONS PLAN DUBUQUE COUNTY PUBLIC HEALTH June 27, 2008 Update April 2020 Purpose: This Continuity of Operations Plan (COOP) for Dubuque County Public Health provides guidance for personnel of Dubuque County Health Department, the Dubuque Visiting Nurse Association, and the City of Dubuque Health Services Department to ensure these organizations maintain the capability to fulfill all of their assigned essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The local public health agencies must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the agency must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The agency must implement the plan and attain operational capability within twelve hours of notification of a COOP event and will provide for the ability to continue operations for at least 30 days after the emergency. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no agency will direct the implementation of their respective COOP Plans without coordination with the county within which the agency resides and their respective governing bodies. • Potential emergencies or threatened emergencies may adversely impact the agency's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Agency and non -agency personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: Dubuque County Board of Health and Board of Supervisors Iowa Code Chapters 137 and 80 City of Dubuque Section I. Essential Functions/Services* Dubuque County Public Health's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Page 1 of 11 Dubuque County COOP April 2020 Prioritized Listing of Essential Functions for Dubuque County Public Health Critical Functions Division/Unit/Program Essential Function (PH Essential Service in Bold) Priority (AAA, AA, or A) Staff/Back-up Equipment/Data/Office Supplies Community Relations LINK PEOPLE TO NEEDED PERSONAL HEALTH SERVICES Respond to questions from clients/general public about access to immunization clinics and health services A VNA Immunization Coordinator, VNA Immunization clerk, VNA case managers, health care providers, PH PIO Phones, cell phone, internet, computer County Health Dept and City of Dubuque Health Services Dept LINK PEOPLE TO HEALTH SERVICES Communication & collaboration with local board of health, board of supervisors, VNA, and City Health Services Dept, County EMA, and the general public AAA Director/VNA Director, County PH PIO, City Public Health Specialist, and County EMA Email, cell phone, telephone, fax, 800-mhz radio, computer, internet County Health Dept & County Finance Dept Processing of payroll, invoicing State for County- held grants, purchasing supplies A County Health Director, Administrative Assistant County Auditor Email, telephone, fax, computer, internet Dubuque VNA and City of Dubuque Health Services Dept DIAGNOSE/INVESTIGATE HEALTH PROBLEMS Communicable Disease Surveillance and Investigation AAA VNA director & Community Health Nurses; City PH Specialist, City Environmental Sanitarians Email, telephone, fax, computer access, specimen collection kits & supplies, computer, internet County Health Dept and Law Enforcement ENFORCE LAWS AND REGULATIONS THAT PROTECT HEALTH Isolation and quarantine policies to contain spread of illness, Public Health Ordinances for environmental health issues. AAA Health Dept Director, County and City Law Enforcement, County Attorney, City Health staff, City Attorney Email, telephone, fax, communication with IDPH Health Dept, VNA, and City of Dubuque Health Services Dept MOBILIZE COMMUNITY PARTNERSHIPS Activate EOC in PH emergency, ESF 8, Implement SNS/POD or other portions of Public Health Preparedness Plan if indicated AAA Health Dept Director, VNA and City Health, EMA, all community partners Email, telephone, fax, 800- mhz radio, EOC facility, physical space for POD setup, supplies for clinic, shelters, internet Home Care -(non- Medicare Certified) ASSURE A COMPETENT PUBLIC HEALTH/PERSONAL HEALTH CARE WORKFORCE Triage VNA Personal Care A VNA Case Managers, VNA scheduler; VNA Personal Care staff Phone, computer schedule program or paper schedules, internet Page 2 of 11 Dubuque County COOP April 2020 client needs; adjust services to enable admitting additional clients who have greater need. Public Health Public Information (PIO) INFORM, EDUCATE, AND INFORM, EDUCATE, AND EMPOWER PEOPLE AA PH PIO Officer, PH PIO Officer, PH PIO backup Email, telephone, fax, 800- Email, telephone, fax, 800- mhz radio, EOC facility, cell Respond to request & questions from public and program participants about access to immunization clinics, non -critical health services, epidemics and public health emergencies City PH specialist, City of Dubuque PIO phone, computer, printer, copier, Internet Important Functions Division/Unit/Program Essential Function (PH Essential Service in Bold) Priority - B Staff/Back-up Equipment/Data/Office Supplies Environmental Health/Well Testing ENFORCE LAWS/REGULATIONS TO PROTECT HEALTH/SAFETY Suspend City or County Health Dept. well testing/laboratory service in the initial stages of crisis. (Testing is available at County Health Department, City Lab and State Hygienic Lab) B Health Dept Director/Environmental Sanitarians Vehicles, water sample kits/ bags, camera, internet Animal Control ENFORCE LAWS/REGULATIONS TO PROTECT HEALTH/SAFETY. Suspend animal nuisance complaint follow-up. Enforce Animal Control Ordinances. B Police, City Animal Control Officers, Police, Sheriff Animal Control truck, supplies animal capture equipment, computer, cell phone Non -critical Functions Division/Unit/Program Essential Function (PH Essential Service in Bold) Priority - C Staff/Back-up Equipment/Data/Office Supplies Environmental -Food Establishments ENFORCE LAWS/REGULATIONS C City Environmental Telephone, computer, printer access, inspection TO PROTECT HEALTH/SAFETY Health staff, IDIA supplies, portable printers, cell phone, internet Adjust/suspend routine inspections during the height of emergency. Swimming Pool, tanning, tattoo ENFORCE LAWS/REGULATIONS C City Environmental Telephone, computer, printer access, inspection inspections TO PROTECT HEALTH/SAFETY Health staff, IDIA supplies, portable printers, cell phone, internet Page 3 of 11 Dubuque County COOP April 2020 Adjust/suspend routine inspections during the height of emergency. Childhood Lead Poisoning Prevention Childhood lead poisoning prevention and follow-up. Suspend non - emergency services/follow-up C Housing, VNA staff, City Health staff XRF (Surface Lead testing), computer Sewage treatment and proper disposal Enforce private sewage disposal system installation operation and connection to municipal public sewage system. Suspend new system installations and enforcement of non- emergency public sewer system connections C County Health Dept staff, City Environmental staff, City Engineering staff Consult with local engineering firms — IIW Associates & Buesing Associates Environmental Health nuisance complaints Enforce nuisance/weeds laws and regulations. Suspend enforcement of non -emergency nuisances C Dubuque County Environmental staff; City Environmental staff Phone, computer, vehicle, internet, mail services Child Health Case Management/Care Coordination EVALUATE EFFECTIVENSS, ACCESSIBILITY, AND QUALITY OF PERSONAL/POP- BASED SERVICES Suspend EPSDT Informing and Care Coordination during the height of crisis C VNA Child Health/EPSDT Coordinator, Child Health Staff Computer access, phone, copy machine, internet. Oral Health Services at VNA LINK PEOPLE TO NEEDED PERSONAL HEALTH SERVICES Suspend oral health case management and PH direct OH services during the height of the crisis C VNA Oral Health Coordinator, VNA OH staff Telephone, computer access, fax, internet • The County EMA would communicate workforce needs to the Community and to the State EOC asking for volunteers to help staff PH needs. The County Volunteer Reception Center (VRC) and COAD may be implemented. The Volunteer Solutions database may be utilized to recruit, credential, and dispatch volunteers. Volunteers would be trained to do clerical, patient flow monitoring, and float as necessary. That would leave critical functions that can only be done by licensed professionals to be done by PH staff or licensed volunteers given orientation/direction. The County will look to IDPH licensing divisions and the Iowa Governor to address any use of professionally licensed staff from other states. A request will be sent to the State EOC and to Jo Daviess County and Stephenson counties in Illinois and Grant/Lafayette counties in Wisconsin to access health care workers for Dubuque County needs. Dubuque County would Page 4 of 11 Dubuque County COOP April 2020 utilize existing providers/clinics to provide immunizations/triage/medications/treatment for their respective patients. Red Cross will assist with volunteer recruitment and for help feeding/watering staff during operations at various sites. • Equipment/Supplies. Personal Protective Equipment (PPE) such as gloves, masks, goggles, gowns are necessary for care of potentially infections clients and environmental contaminants. In addition, hand sanitizer, alcohol, disinfectant, safety syringes and needles, sharps containers maybe necessary. County EOC would be activated to have the Logistics Officer assist in procurement of materials for POD: • Computers • Phone • Cell phones • Fax/copier • Office Supplies • Vehicles • PPE • Internet ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. • VNA Home Care staff (non -Medicare Certified) services will be triaged to provide only critical services and suspend homemaking temporarily. • Home Care staff would be reassigned to help with support staff functions and help staff SNS/POD clinics. • If necessary, to dispense medicine/vaccine to homebound citizens, VNA Home Care staff and Mercy/Finley Certified Home Care would be asked to assist. • Administrative support staff reassigned Environmental Health Services such as City food service inspections, County & City well testing, County private sewage disposal, swimming pool/spa, lead poisoning, County & City nuisance inspections and zoning/plats review would be suspended temporarily. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of Dubuque County Public Health leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the public health lines of succession for the highest position of authority and for other leadership/key positions within the agency. Key Positions & Lines of Succession Position Successor 1 Successor 2 Administrator, Dubuque Co Health Dept Board of Health Chair VNA Adm Director VNA Administrative Director VNA Communicable Disease Nurse -Community Health Nurse II VNA Child Health Coordinator City of Dubuque Public Health Specialist City Environmental Sanitarian City Environmental Sanitarian County Public Health PIO- County PH Administrator City Public Health Specialist City of Dubuque PIO Page 5 of 11 Dubuque County COOP April 2020 ❖ Establish succession procedures • Succession takes place when the person assigned to the primary position is not available or cannot function for any reason. The Dubuque County Board of Health will be advised of any vacant position and that this succession plan may be required to be implemented. The County EOC may identify a need and initiate the process. • If succession plan is to be implemented, the Board of Health will be notified by phone or by delivered message (via runner or Law Enforcement). The County Board of Supervisors will be notified of the implementation of the succession plan. • Terminating conditions when the usual person assigned to key position is able to resume duties and/or working hours return to normal, the Board of Health will terminate the implemented succession plan and usual assignments will be resumed. If usual person unable to resume position, County BOH will determine new person assigned to the position. Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the agency director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Closing of County PH offices Emergency authority Dubuque County Health Dept Administrator When conditions make coming to or remaining in the office unsafe for staff and customers Only delegate in life threatening situations Closing of all public buildings including schools, businesses, childcare centers Emergency Authority Dubuque County Board of Health Medical Consultant in dialog with IDPH, Mayor, Board of Supervisors A communicable disease capable of causing serious or life- threatening illness that needs to be contained. Weather or natural/ disaster conditions requiring evacuation or home confinement Serious/life threatening communicable illness Authorization of emergency expenditures for Dubuque County/City Emergency authority Dubuque County Board of Health and County BOS, City of Dubuque When the agency head or designated official has declared an official emergency. County expenditures over $50,000 Order for Quarantine/Isolation Plan to be implemented Emergency Authority Dubuque County BOH PH Medical Consultant and County Attorney A communicable disease capable of causing serious or life -threatening illness that needs to be contained. Within scope of County Isolation and Quarantine ordinance, policies and procedures Page 6 of 11 Dubuque County COOP April 2020 Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats • Identify sufficient space and equipment to sustain the relocating organization • Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc) • Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning) • Provide for sustained operations within 12 hours and for a period of up to 30 days • Address considerations for the health and safety of relocated employees • Address physical security and access controls — Summary of Facility and Infrastructure Requirements at Alternate DBQ Co PH Dept Facilit Near -Site Location: Dubuque County Fire Training and Regional Response Center Required: Structure / Facilities Weather proof, minimum of 1,000 square feet of space Utilities Water, sewage, electricity/generator Communications (Including Voice and Data Transmission Voice and data transmission lines x 5, e- mail/internet Equipment and/or systems High speed internet access, office desks (5), phone service, computers, fax, copy machine, refrigerator Facility specific Emergency Response Plans, equipment (health and safety items) Fire suppression system, back up power generator, handicapped accessible, multiple ingress/egress points, sufficient security to protect site, parking, and refrigeration. The site for Dubuque County Health Department relocation is the Dubuque County Fire Training and Response Center on Public Safety Way. Since this facility has the ability to house the County EOC, this alternate site would be ideal to temporarily house Public Health. Additional sites by priority: 1. Dubuque Fire Headquarters, 9th & Central Avenue 2. City Hall Annex, 1300 Main Street 3. Dubuque VNA, 660 Iowa Street 4. Dubuque County Courthouse, 720 Central Avenue ❖ Social distancing achieved through: • Telecommuting and teleconferencing via computer, webcast, phones, e-mail, social media • Not reporting to office • Maintaining basic supplies in vehicles/home to avoid coming to worksite • City e-mail and County PH PIO e-mail is available via remote computer access • Public information delivered by PH PIO via mass media and social media, internet/websites, health care provider and risk communication list e-mails and faxes • Suspension of work -related travel, face-to-face non -essential meetings ❖ Alternate hours of operation achieved through: • Flexing staff work hours/shifts • Utilize lines of succession and additional county/city government staff • Expanded hours of coverage. Page 7 of 11 Dubuque County COOP April 2020 Section IV. Interoperable Communications ❖ Critical communication systems that support the agency essential functions. County PH Dept, VNA, and City all are on separate IT/communication systems which leads to redundancy in the event that one system fails other partners may still have the ability to communicate. Communication systems include standard and cell telephone service, Internet/email capability, fax service, 800 MHz radio, CB radio, crank radios, walkie-talkies. HAM radios are also available. ❖ Transferring/replicating critical communications at the alternate site: The alternate sites have multiple phone lines, fax, email, computer technology systems in place for EOC functions. Other forms of communication, i.e., radios, can be transported to alternate sites. ❖ Establish procedures for interoperable communications between the agency's COOP team, management, and essential internal and external staff. The County EOC will be activated in a PH emergency thus facilitating communication with partners. The plan is to utilize Risk Communication Plan and issue alternate communication devices at the EOC, if necessary. If necessary, County Law Enforcement and volunteers could be utilized as couriers of messages to -and -from partners in the event that electronic/phone communications were suspended. Establish procedures for communication with other organizations, emergency personnel, critical customers and the public. The County Preparedness Plan Annex B Risk Communication Plan details the protocols/procedures in place to communicate with critical partners and the public during a critical PH event. Target groups in Risk Communication Attachment are updated annually. Staff contacts are updated quarterly. ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. See above response. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the agency that will minimize information and data loss. The County Courthouse houses and maintains vital records (birth/death certificates/licenses etc) and is separate from any PH databases. Communicable disease records (stored in IDSS) are reported either electronically or by paper submission to IDPH/CADE; paper investigation records are also kept at VNA. The IDPH Immunization database can be accessed electronically and the VNA has paper immunizations cards that can be used should IRIS be unavailable. City data files are backed up via network and at remote location. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records. Dubuque County Public Health policies/procedures and plans are available electronically by computer access but also via paper records at the Health Department located at 1225 Seippel Rd., Dubuque. VNA plans/policies/records are located at the VNA building located at 660 Iowa Street, Dubuque. The City Health Services Department's plans/policies/records are also maintained separately at the City Hall Annex office at 1300 Main Street in Dubuque. The County PH Emergency Response Plan (PHER) can be accessed via the HAN. Page 8 of 11 Dubuque County COOP April 2020 ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records. County PH legal and financial records are kept at the County Health Department on Seippel Rd., Dubuque or at the County Auditor's office at the Dubuque County Courthouse, Central Avenue, Dubuque. The VNA financial records are kept at the VNA Accountant's office at Finley Hospital Finance Department, 350 N. Grandview Drive, Dubuque. City Health Department Financial records are kept at City Hall, Central Avenue, Dubuque. ❖ Include provisions for classified or sensitive data Public records are available on a need -to -know basis and by following established policy to apply for records. County Preparedness plans are accessed via the Health Alert Network, which has restricted access. Any personal health related records/data may also be protected by HIPAA regulations though PH use may allow access for communicable disease investigation. All details of communicable disease case investigation are kept confidential as required by law. ❖ Identify location and accessibility to vital records Location of records: Dubuque County Courthouse. Access to Dubuque County vital records are regulated by routine procedure. During a PH emergency, access to records for PH purposes is facilitated by Iowa code allowing access for PH. ❖ Include procedures for data back-up and restoration Dubuque County and City IT systems have routine procedures for data back-up every 24 hours. Should files or database become lost or corrupted, the IT depts can use the tape backup to restore the system (County Courthouse at 589-4432) or (City Hall Annex at 589-4280). Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Emergency Operations Records and plans including plans, contracts Hardcopy, electronic and HAN via Web County EOC County Health Dept City of Dubuque Health Dept Dubuque VNA Legal/Financial Records Hardcopy and electronic County Courthouse County Health Dept Some records at DBQ VNA and City Health Birth Certificates Hardcopy County Courthouse Electronically on DHS site IDPH Death Certificates Hardcopy County Courthouse None None VNA client information Hardcopy and electronic VNA Dubuque office Clayton County VNA office would have some access to some VNA Dubuque electronic records. Finley IT Dept Page 9 of 11 Dubuque County COOP April 2020 Section VI. COOP Implementation ❖ Phase I: Activation and Relocation • Executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery: with a threat of or an actual PH emergency, the Dubuque County Preparedness Plan identifies the process of declaring a PH emergency. The County Health Director and EOC would determine critical decisions including activation of succession plan when/if necessary. With activation of the EOC, the County EM would be notified. ■ Develop employee alert and notification procedures. The Health Department procedure for alerting the PH administrator is for Dubuque County 911 Center Dispatch to phone. Other partners such as VNA and City Health Department can also be contacted by Dispatch or through the Health Alert Network. The VNA Director can be notified to mobilize using their Disaster Call Tree system which includes cell phone numbers. Alternate locations for PH offices could include the following sites: • Finley Hospital for the VNA • City of Dubuque Municipal Services Center • City Hall or City Hall Annex • Dubuque County Courthouse • Historic Federal Building, and • Dubuque County Fire Training and Regional Response Center on Public Safety Way. The EOC Logistics Officer would assist with transfer of EOC/PH office including records to the alternate location. Law Enforcement would provide security for the EOC/PH office at the alternate site. Non -critical functions (B, C as outlined in the tables, would be reduced or suspended). ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. The EOC activation procedures/protocol and use of an alternate site are part of the Multi -Hazard Plan which would be implemented. Following the activation of the COOP and establishment of communications links at the alternate facility, the Director or designee orders the cessation of operations at the affected facility. All personnel are notified and provided instructions for reporting. Missing personnel are identified, and orders of succession are activated as needed. The Director or designee notifies the EOC or EMA if the EOC is not activated, that an emergency relocation of the department is complete and provides contact numbers. The department notifies the BOH chairperson, taking direction from the chair regarding further notification of the board members, i.e., by telephone or per US mail. The County Health Administrator will notify the Board of Supervisors. Notification of news media, outside customers, vendors, and other service providers are notified by the PH Public Information Officer that the department has been temporarily relocated as appropriate according to the situation. Temporary signage will be printed and displayed. The POD plans/protocols at the VNA include specific assignments to get POD operational as well as staff assignments/shifts to provide for sustained efforts. The VNA will utilize community volunteers to sustain efforts. Page 10 of 11 Dubuque County COOP April 2020 ❖ Phase III: Recovery and Return to Normal Operations The County All Hazard Plan identifies the processes of returning to standard operations after the EOC has been de -activated. Within twenty-four hours of an emergency relocation, or at such time the emergency situation allows, the Director will initiate operations to salvage, restore, and recover the affected health department facility, with approval of law enforcement and emergency services involved. Reconstitution/return to normal operations will commence when the Director ascertains that the emergency situation has ended and is unlikely to re -occur. Once this determination has been made, one or a combination of the following options may be implemented, depending on the situation. • All personnel are informed of termination of emergency status and return to standard operations • Movement of vital records and equipment back to the facility is arranged • Initiate an orderly return to the affected health department facility and restore to full operations • Notification of the EOC, or EMA if the EOC is not activated, that the department has returned to the original location • Notification of the BOH and BOS completed as appropriate • Conduct a review of the COOP Plan and create an Improvement Plan for future use. Upon decision by the Director, in consultation with the EOC, the BCHC Administrative Team and the BOH chairperson, the original department facility can be reoccupied, or that a different facility will be established as a new county health department facility. The VNA Core Functions protocol addresses resuming standard VNA operations/hours after de- mobilization. ♦ Address notification procedures for all employees returning to work. All County, City, and VNA employees would be notified through communication from the PIO and their standard communication mechanisms on return to work/standard operations procedures. Section VII. Tests, Training and Exercises Each agency employee plays a role in the agency's COOP readiness. Each agency unit must know how to execute its portion of the COOP plan and how it relates to the COOP plan for the entire agency. To achieve this, an agency should train all personnel and conduct drills. POD Plan: The VNA has developed an internal Core Functions plan that addresses many of the issues of VNA helping the County mobilize. The VNA has also developed plans for mobilizing VNA staff for POD setup. The VNA plan includes POD clinic diagram, staff assignments including slots for volunteers, POD Go Kits are now assigned Station specific for VNA station managers to set up their workstations. ❖ Develop Test, Training and Exercise plans that provide: ■ Annual individual and team training of agency COOP personnel; PH and VNA staff have participated in tabletop drills (see AAR). ■ Develop exercise/training participation tools for public health staff. ■ Annual agency testing and exercising of COOP plans and procedures ■ Testing of emergency alert and notification procedures and systems. County participates in HAN alert and 800 mHz drills. ■ Refresher orientation of COOP staff Annual exercises provide ongoing training for key staff at County, VNA, and City Health Services Dept. ■ Joint agency exercising of COOP plans includes partners from all agencies. ■ Training documentation by each agency Page 11 of 11 Dubuque County COOP April 2020 1— Updated April 13, 2020 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Human Rights Department March 12, 2020 Purpose The purpose of this plan is to provide guidance for personnel to ensure the department and City organization maintains capability to fulfill all of its assigned essential functions following a wide variety of emergencies. It is an effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of emergency. Key Concepts • During an event, office operations and activities will not be "business as usual." The continuity of time -critical, "essential" functions is paramount. When the plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When an event occurs, the department must be capable of implementation at any time, with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within twelve hours of notification of an event and will provide for the ability to continue operations for at least 30 days after the emergency. Planning Assumptions • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective plan without coordination with other City departments. • Potential emergencies or threatened emergencies may impact the department's ability to continue to support essential internal operations and to provide services to residents or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities The COOP planning authority is vested with the City Manager and the Human Rights Department Director. Section 1: Essential Functions and Services Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. 2 — Updated April 13, 2020 • Identify essential functions for the department and prioritize them by time criticality — the amount of time that a function/process can be suspended before it adversely affects the department's core mission. • Establish staffing requirements needed to carry out essential functions, including key personnel and back-ups, staff from non -essential areas that can be cross -trained to backfill essential functions, and additional workforce such as retired employees or partners in other organizations. • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include anything that may be useful but is not essential to the activity. • Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Critical Functions Activity Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/data/office supplies Organizational Development Interpretation and Translation assistance; equity in emergency management AAA Director/Organizational Equity Coordinator Phone, e-mail, interpreter/translator lists, contact lists Administrative Payroll, purchasing AAA Intake Specialist/Director vendor setup forms, access to City network programs, payroll notes and timesheets Community Development Outreach to underrepresented populations AA Community Engagement Coordinator/Director Phone, e-mail, car, contact lists Community Development Resource & Referral for public A Intake Specialist/Director Phone, e-mail, key contacts Important Functions Activity Essential Function Priority B Staff/Back-up Equipment/data/office supplies Community Development Complaint Intake and filing B Intake Specialist/Director Phone, e-mail, GovQA or paper/online intake forms Non -Critical Functions Activity Essential Function Priority C Staff/Back-up Equipment/data/office supplies 3 — Updated April 13, 2020 Organizational Development Long term equity planning & Teams C Organizational Equity Coordinator/Director Office 365, research materials, phone, e- mail Organizational Development Equity plan implementation C Organizational Equity Coordinator/Director Office 365, research materials, phone, e- mail, data sources by project/plan Organizational Development Training C Organizational Equity Coordinator/Director Presentation materials, worksheets, poster paper, markers, powerpoint, projector Section 2: Lines of Succession/Delegations of Authority Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Key Positions and Lines of Succession Position Successor 1 Successor 2 Method of Notification Human Rights Director Organizational Equity Coordinator Community Engagement Coordinator Cell phone call from predecessor Delegations of Authority Authority to be Delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Closing of office Emergency authority Department When conditions Only Director make coming to or remaining in the office unsafe for staff or residents delegate in life threatening situations Purchase of Purchase of items Department When designated Do not services and needed to maintain Director and Intake official has delegate supplies essential department Specialist declared an expenditures services official emergency of over $10,000 Section 3: Alternate Operating Facilities & Service Delivery Identify an alternate facility capable of supporting essential functions, positions, and personnel. 4 — Updated April 13, 2020 • First choice would be relocation to another City facility with appropriate equipment and network access - Multicultural Family Center option #1, City Hall option #2. • Second choice would be relocation to homes to telework. Summary of Facility and Telecommuting Requirements Facility Requirements if Relocated Requirements if Telecommuting Four desks with high speed Internet access Home office space with wired or wireless Internet Desk phone and/or cell phone _ Home phone and/or cell phone Desktop or laptop computer connected to City network Laptop computer or tablet Accessible for people with disabilities Go to My PC for payroll and access to City network Water, sewage, electricity, heating, fire suppression Lockable space for paper files/complaints Alternate service delivery may include suspension of non -critical activities in order to refocus personnel on critical activities and/or assign them to essential functions elsewhere in the organization. Section 4: Interoperable Communications Critical communication systems that support the department essential functions: • Desktop phone line — 589-4190; set this up as transferable to cell phones • Language Line tools and access to interpretation/translation resources and phone lists • Internet access with functioning e-mail, GovQA, Microsoft Office online through computer, tablet, or phone • Communication with public through website/NotifyMe, media releases, social media, phone and e- mail networks with community leaders • Access to City network for payroll, purchasing. Alternatively, access to payroll clerk from another department that is operational and can assist with processing. Section 5: Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. Vital Records and Databases Vital file, record, or database Form of record (hard copy, electronic) Location (relocated if building at risk) Back-up location Case files Hard copy and electronic File cabinet in main Human Rights office area; Laserfiche Laserfiche backup 5 — Updated April 13, 2020 Interpretation and Language resources Electronic and hard copy Electronic in MS Teams; hard copy in Red SOP Book F:/drive backup Financial records Electronic and hard copy File cabinet in main Human Rights Office area; Laserfiche Laserfiche backup Section 6: COOP Implementation This section addresses the process by which the COOP plan is implemented Phase 1: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. o General emergency directives come from City Manager and EOC operation o Human Rights Director assesses necessity of changes in procedures — work in person at another location, telecommuting, prioritization of activities o In Director's absence, responsibility for decision -making lies with Organizational Equity Coordinator • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. o Director will notify staff by group e-mail requesting immediate response, following up with text or phone call as needed. o Initial e-mail or phone contact will include instructions for reporting to work physically or remotely. Phase 2: Alternate Facility Operations/Teleservice • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternate facility or through telecommuting. o Initial e-mail or phone contact will include instructions for reporting to work, including whether there will be staggered schedules, telecommuting, or special assignments based upon the nature of the emergency. o Staff will notify the director by e-mail or phone upon arriving at work or signing in remotely. o Staff will have Microsoft Teams open for communication through the duration of the event, unless the staff member is deployed in the field in which case the person will be available by cell phone. o If a staff member will be working remotely, whether telecommuting or in the field, they will make arrangements to forward their calls from their desk phone to their cell phone. o If the desk phone at 589-4190 cannot be staffed, calls to that line will be forwarded to the Director's cell phone. o If the event is anticipated to require extended day and weekend staffing, staggered schedules will be arranged. Phase 3: Reconstitution and Return to Normal Operations 6 — Updated April 13, 2020 • Develop procedures for returning to normal operations, including returning to facility and notification process for employees to return to work. o When situation is determined to be ready for normal operations, Director will notify staff through e-mail requesting response, following up with text or phone call as needed, regarding when and where to return to work. Section 7: Testing Each department employee plays a role in the department's COOP readiness and must know how to execute their portion of the plan. Annual testing of phone notification process and teleservice in particular is essential for the Human Rights Department. Overview of COOP is part of department orientation process for new employees. 7 — Updated April 13, 2020 APPENDIX A DETAIL FOR PANDEMIC Section 1: Essential Functions and Services • Refocus essential functions based on likely impact of a pandemic on underrepresented populations: o Communication with special populations o Serve as a member of the Housing and Human Services support function with Housing & Community Development Department and local Community Organizations Active in Disaster (COAD) for duration of the pandemic and recovery. o Examine emergency response for equity considerations; propose actions that are less likely to results in worsening of pre-existing inequities in the population. o Assist as needed with enterprise -wide critical services that need staffing, particularly services related to our core mission of reducing inequities. Section 2: Lines of Succession/Delegations of Authority • Close physical office location based on recommendations of Public Health Emergency Operations. Section 3: Alternate Operating Facilities & Service Delivery • Set up teleservice: o Test staff ability to use work -issued and personal cell phones, tablets, and laptops or computers to get to the Office 365 Portal online from home. o Ensure staff are provided computers for use at home as needed. o Establish teleservice protocol and ensure access to necessary documents, including: Language Line materials; list of interpreters and translators; updated phone lists for department staff, Leadership team, Human Rights Commission, Dubuque Community Police Relations Committee; staff timesheets and FEMA tracking information; instructions for GoToMeeting and GoToMyPC and accessing voice mail remotely; instructions for obtaining translations. o Set up weekly virtual check -in meetings with all staff. o Set up GoToMeeting for Human Rights Commission meetings with appropriate protocol. • Follow social distancing and quarantine guidance: o Place individual employees on quarantine as needed based on guidance from Public Health Specialist. o Cancel in -person events, including staff training, meetings, and travel and re -design as virtual events where possible or reschedule for post -pandemic. Section 4: Interoperable Communications • Obtain cell phones for staff that do not have them and forward desk phones to cell phones; set up revised call tree as needed. 8 — Updated April 13, 2020 • Ensure staff who need to access the City Network for payroll, purchasing, and other critical software systems are set up with GoToMyPC • Ensure all staff are able to access GoToMeeting to set up and attend virtual meetings and webinars. • Ensure staff without internet at home are provided a hotspot. Section 5: Safeguarding Vital Records and Databases • Continue as identified in general plan, maintaining hard copies at home as needed until office reopens. Section 6: COOP Implementation • Verify continued availability of interpreters and translators; identify primary translators for most frequently spoken languages in addition to English; provide payment standards and response time expectations; set up translators and interpreters as City vendors; establish understanding with incident management team on items for translation; implement process for obtaining and posting/distributing translations; revise as circumstances change. • Establish equity working group to proactively reach in to underrepresented populations to determine impact, problem solve, and connect underrepresented populations to resources that may not otherwise reach them. • Participate in weekly meetings in partnership with COAD to identify and address needs of non-profit human services providers • Engage state and national equity networks as resources to assist with best practice responses to addressing equity during a pandemic. • Respond to identified housing and human services needs with an equity lens. 2012 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Library Department Date March 30, 2020 Purpose: This Continuity of Operations Plan (COOP) for the City of Dubuque Library Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager, Library Board of Trustees, and Susan Henricks, Library Director. Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department • Prioritize the Essential Functions as measured by time criticality. • Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Prioritized Listing of Essential Functions for the Library Department Page 1 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Critical Functions* Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Library Information Technology Protect data, provide internet & hardware AAA Michael Korth, and Library User Support Specialist (vacant as of this writing) Library servers, desk top computers, laptop computers — any equipment that may be necessary or used that is technology based. Library Administration, Library Director and Administrative Assistant Liaison with other city departments, community, and planning for disaster recovery, payroll AAA Library Board of Trustees Computer and internet access *Whether the library performs a critical funct'on depends on the emergency. The library could become the community information hub, for example through the provision of internet and computer use for the public. This is a common role for libraries in communities that have experienced hurricanes, tornadoes, and floods. Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Library Administration- Administrative Assistant Provide information to public, other administrative functions such as accounts payable and receivable. Confidential Account Clerk, or Library Director Computer and internet access. Invoices and acquisitions information Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies All Library Activities Provide print and non -print resources for community members for informational, recreational, and educational use. All staff Existing facility, computers with internet access, and collection. ❖ Identify Resource Requirements ■ Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. • Establish staffing requirements needed to carry out essential functions. ■ Identify key personnel and backups. • Identify staff from non -essential areas that can be cross trained to backfill essential functions. Page 2 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc. to complete essential functions. • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Library Director Adult Services Manager Administrative Assistant Adult Services Manager Librarian (Muchmore) Youth Services Manager Circulation Supervisor Lead Library Assistant Adult Services Manager Youth Services Manager Library Aide (Keimig) Relations Supervisor Maintenance Supervisor Library Director Administrative Assistant ❖ Establish succession procedures • Conditions under which succession will take place • Method of notification • Terminating conditions Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority *The Library Board of Trustees delegates all day-to-day operations to the Library Director. In the event there is not a Library Director, the Board has complete authority to manage, or make an appointment. Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Library Board of Trustees complete Over all library Activities/Personnel Emergency with absent Library Director none Financial Purchase order approval/payment and overall budget Administrative Assistant Emergency with absent Library Director or if Limitations are outlined by policy and Page 3 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations management assigned when Director is out for a period of time. Administrative Assistant must check with the Library Board when and if required for final approval on spending. Building Maintenance Plan work activities and work directly with contractors as required Administrative Assistant Absence of Library Director and Maintenance Supervisor Limitations are outlined by policy (example when bids are required, etc.) Then assistance must be sought from City staff members. Personnel Approve schedules, leaves, recruitment & hiring process, training, termination if required. Adult Services Manager Absence of Library Director Limitations are defined by policy. Exceptions must be presented to the Board for approval. Information Technology Protects all digital files, databases, and electronic equipment, while providing resources using technology Library User Support Specialist (position vacant as of 3-30-2020) Absence of Library Director and Information Technology Systems Manager Limitations may be budget -related and require approval. Other major decisions regarding the IT infrastructure and provision of service must be approved by the Board of Trustees. Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats • Identify sufficient space and equipment to sustain the relocating organization • Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc) • Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning) • Provide for sustained operations within 12 hours and for a period of up to 30 days • Address considerations for the health and safety of relocated employees • Address physical security and access controls Page 4 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: None identified at this time- Would check on vacant space available at Kennedy Mall. Required: Structure / Facilities Weather proof, minimum of 10,000 square feet of space (there is 40,000 sq ft now) Utilities Water, sewage, electricity Communications (Including Voice and Data Transmission Voice and data transmission lines Equipment and/or systems High speed internet access, office desks, floors able to bear the weight of library stacks of materials; computers for the public Facility specific Open for the public, parking, ADA compliant *The above summary would be for longer -term operations; for example, 6 months or more. Size and equipment needs would vary depending on the period of time the library was required to shut down. ❖ Alternate Service Delivery ➢ Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. • Address tools or services needed from other county or government organizations to achieve social distancing • Identify the department's technology needs related to large-scale telecommuting. • Address considerations for flex shifting. Alternate Service Delivery (If Service Required Internet Access Leave WiFi on after hours for people outside the building to access Curbside Delivery Plastic bags for materials, cart to place items on, telephones, internet access, hand sanitizer, gloves, employees (Employees place materials in bag, tie. Patron calls — employee takes materials outside, places on a cart, returns to door and patron takes items from cart.) Informational Updates Employees to add information to website Virtual Programming for all Ages Staff, books, computer & internet access Prior to Reopening Cleaning/disinfectant to wipe off the materials that were checked out Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. )=. The library's operating system is Koha. Presently it is hosted on a library server. If the library had a reliable internet connection Koha could be hosted off -site, decreasing the risk of information loss. ➢ Internet access ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ➢ Email, telephone, and resources available on CODI Page 5 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Email, phone, press releases, signs, and social media depending on availability ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. ➢ Computers and internet access are necessary ➢ If internet is not available, a manual system (pen, paper, telephone) will be implemented Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ❖ Include provisions for classified or sensitive data ❖ Identify location and accessibility to vital records ❖ Include procedures for date back-up and restoration Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Koha Database Electronic borrower accounts, materials inventory, & processing of new acquisitions OneDrive (Microsoft) IDrive — 3rd party app that backs up to the cloud Activity User Files/Folders and Shared Drive Electronic files/folders, records that are associated with employees (Drive (3rd party app that backs up to the cloud) Active/Current Employee Personnel Records Hard copy in Library Administration, electronic copies in Human Resources Human Resources Past Employee Personnel Records Digital copies at library Human Resources (Drive Revenue/Receipt Records (five years) Hard copies in Circulation Manager's Office and in Library Administration. Digital summaries in library. (Drive Deposit/Revenue Receipt Records (five Hard copies in Administration Page 6 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations years) Digital records in Library Digital records in City Finance !Drive Library Board Minutes Hard copies in Library Administration Some years have been microfilmed (held in Library) Digital copies in Library Administration Digital copies at City Hall (Drive Equipment Listing and Maintenance Agreements Electronic copies in Library Some hard copies in Library Administration and Maintenance Offices !Drive Contracts/Agreements (10 years) Some hard copies in Library Administration City Laserfiche Circulation Records Hard copies in Library Administration Digital copies at the State Library of Iowa Delinquent Borrower Records (all years) Koha database OneDrive (Drive Historical Records, Photos, Surveys, Correspondence, Marketing Materials, Statistics, Studies, Reports (State Library Reports), Blueprints, and Documents with Continuing Administrative and Historical Value 30% hard copies in Library Administration or in the Special Collections Room. 70% digitized and held electronically !Drive Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • What is the extent of the damage to the facility? • If the facility is sound, determine what the greatest need is in the community for the library — can part of the building be used by other departments as an alternate location? If not, how will the community use the facility and work to meet those needs. • If the facility cannot be used work must begin to stabilize the building, inventory damage, and work toward restoration. When the facility is secure plans can be made to seek an alternative location. Page 7 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • The library has a notification tree. The supervisors of six Activities, or his/her designee, notifies employees by phone or text. The library has had two experimental runs with this system and it can be used to notify the employee not to come into work, or to identify how quickly an employee could report to the library if needed. ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. • If the library would be closed for six months or more an alternate facility must be identified that is ADA compliant, has load -bearing floors, offers parking, hi -speed internet, staff workstations, shelving, and public computers. • The size of the site and hours of availability will determine the number of employees required to provide services. ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. ➢ This is an ongoing activity that will be conducted behind the scenes during the entire time that library services would be delivered from an alternate location. The Library Director, or Interim Director, and the Library Board of Trustees will have been working toward a permanent solution to return to normal operations. • Address notification procedures for all employees returning to work. US Mail, telephone, e- mail, or text message. The message may come from the supervisor or Library Administration depending on the content. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • Annual review of department COOP • Ideal time for discussion is during the annual staff development day • Annual department testing and exercising of COOP plans and procedures • When the City of Dubuque does this. • Annual testing of emergency alert and notification procedures and systems • When the City of Dubuque does this • Refresher orientation of COOP staff • Same as first bullet point — during annual staff development day Page 8 of 8 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Dubuque Regional Airport 4/10/2020 Purpose: This Continuity of Operations Plan (COOP) for the Dubuque Regional Airport provides guidance for personnel to ensure the airport maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is an effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, airport operations and activities will not be normal and may see a significant drop in activity. The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked, and alternate business processes may be activated. • During times of uncertainty, the airport must maintain itself at a high level of readiness for a COOP event. • When a COOP event occurs, the airport must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The airport must implement the plan and attain operational capability within a specified time frame (dependent on event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the airport's ability to continue to support essential internal operations and to provide services to the general public or support to other agencies. • Airport and non -airport personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the Airport Director or designee Page 1 of 13 Dubuque Regional Airport Continuity of Operations Plan Section I. Essential Services Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Prioritized Listing of Essential Functions for the Dubuque Regional Airport: Airport Administration The airport administration is responsible for the oversight of all airport departments as well as airport planning, accounting, and marketing. Employees under Administration all have separate offices, sharing only the hallway and stairway in and out of the building as well as the printer room. Several Administration positions allow employees to telework at home and avoid most COOP events at the airport. Airport Operations: Airport Rescue and Fire Fighting (ARFF) & Security Per 14 CFR, Part 139 and 49 CFR TSR 1542, Airport Certification, airports certified under this section are required to have and maintain an ARFF index and security requirements. The Dubuque Regional Airport is an Index A airport for fire support which is based on length of air carrier aircraft and the average daily departures. Under Index A, one truck capable of dispersing a set amount of agent is required to be manned for those air carrier operations. For security, the airport is a class IV which is a supporting program. All operations staff are equipped and certified to meet these requirements, however, in the event that the COOP is forced to be implemented, only other certified individuals may take on this duty. Three Operations Specialists work individually with a schedule of 24 hours on, 24 hours off, which occurs 3 times. After the third shift, they then have 4 days off, instead of one. With this schedule, the only time two OS's meet is during the 15-minute briefing between shifts, as when one is on shift, the other two are off. Page 2 of 13 Dubuque Regional Airport Continuity of Operations Plan April 2020 Sunday Monday Tuesday Wednesday Thursday Friday Saturday 1 JH 2 JK 3 JH 4 RW nAI ,wr Fa ; ;; 5 JH 6 RW 7 JK 8 RW 9 JK 10 JH 11 JK 12 JH 13 RW 14 JH 15 RW 16 JK 17 RW 18 JK 19 JH 20 JK 21 JH 22 RW 23 JH 24 RW 25 JK 26 RW 27 JK 28 JH 29 JK 30 JH Sample Calendar for Operations Specialists for April 2020 Airfield Maintenance The airport maintenance department is made up of 4 employees divided into teams of two. These crews maintain the airport and specifically the airfield, facilities as well as act as mechanics when equipment needs maintaining. Per FAA regulations, certain airport maintenance issues must be resolved immediately. If these problems are not addressed, there is the possibility of shutting down elements of the airport's infrastructure that could greatly affect operations. The schedule for maintenance involves one team being on shift for five days while the other team self -isolates. All Maintenance employees are aware that they may be called in at any time. Individuals knowledgeable with FAA regulations and that have airfield driving experience can take this position in times that none of the four regular employees are available. Page 3 of 13 Dubuque Regional Airport Continuity of Operations Plan April 2020 Miry 1 ^,..mow JP, JD 7 JP JD 1.maat ] JP JD , Simi J __ _4—w ... . J_--".._ .... .._____ } c •F JP, JD 1 JP, JD . RM, AM fl RM, AM L} RM, AM -- 1S JP, JD JP, JD RM, AM . RM, AM JP, JD JP, JD JP, JD RM, AM RM, AM RM, AM x r Ffi RM, A .7 RM, AM JP, JO - xi JP, JD Sample Calendar for Maintenance Employees for April 2020 Fixed -Base Operator The airport's fixed -base operator (FBO), The Dubuque Jet Center, is responsible for servicing transient and based aircraft at the airport. The most important duties for Jet Center employees include fueling of Envoy, commercial flights, general aviation transporting essential personnel, and servicing cargo flights. Fueling for any type of aircraft requires certification and training, limiting the replacements to only those who have completed Jet Center's training programs. There are eleven employees with nine being Line Workers and two being Customer Service Reps/Receptionists. Their schedule is dependent on traffic demand. When the COOP is activated, line workers and receptionists will begin a reduced schedule that will be adjusted as needed pending aircraft traffic demand. Page 4 of 13 Dubuque Regional Airport Continuity of Operations Plan Critical Department Functions Division/Activity/Prog Essential Function Priority (AAA AA, A) Staff/Back- up Equipment/Data/Office Supplies Maintenance Airfield Maintenance AAA Airfield lighting and signage supplies, snow removal, grass maintenance equip, facility maintenance tools, etc. Mechanic/Maintenance Vehicle Maintenance AAA Public Works Tools Operations Security AAA Police Dept. Airport Vehicle, data Operations Fire Fighting AAA Fire Dept. Ops Building /ARFF Trucks, data Operations FAA Part 139 Airfield Requirements AAA Maintenance Airport Vehicle, Inspection Sheet, FAA Manuals, data Administration Airport Oversight and Finances AAA See line of succession Payroll Software, Timesheets, Budget Information FBO Aircraft Servicing AAA See line of succession Fuel Trucks /Ground Handling Equipment Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back- up Equipment/Data/Office Supplies Administration Public Relations B City PIO Airport Data Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back- up Equipment/Data/Office Supplies Operations Tours C Multiple Seminars / Conferences C Operations New Employee Training / Certification C Page 5 of 13 Dubuque Regional Airport Continuity of Operations Plan ❖ Identify Resource Requirements Division/Activity/Prog Essential Function Priority (AAA, AA' Staffing Required Maintenance Airfield Maintenance AAA 1* Operations Fire Fighting AAA 1 Administration Airport Oversight and Finance AAA 1 FBO Aircraft Servicing AAA 2* *Situationally Dependent ■ Essential Airport Positions Include • One Airfield Maintainer • One Firefighter / Security Officer • One Administrative Individual • Two Aircraft Servicer/Fueler ■ Staff from Administration and Operations are cross trained to a degree that allows these two groups to complete tasks for each other. ■ Maintenance work may be completed by knowledgeable operations employees; however, vehicle repair may be limited. ■ FBO work may be completed by Administration and/or Operations employees ■ If all trained airport staff are unable to take the position of someone incapacitated, City of Dubuque resources may be consulted and utilized. • Critical Equipment, Data, Records, and Supplies > One Airport Vehicle (Preferably Red 3) > One ARFF Truck with associated equipment > Financial Documentation including payroll, budget, bills, etc. > H-Drive Copy/Backup and Computer Equipment > Terminal Cleaning Supplies Page 6 of 13 Dubuque Regional Airport Continuity of Operations Plan Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or other officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. They also create better communication. 563 589 4236, press 1 if you get voicemail to be transferred to ops on duty cell to contact any position listed below 24/7/365. Key Positions & Lines of Succession Position Successor 1 Successor 2 Successor 3 Successor 4 Airport Director Assistant Director Accountant Marketing Coordinator Operations on Duty FBO Manager Assistant Manager Assistant Director Airport Director Ops on Duty Airport Operations / ARFF Assistant Director Airport Director Dubuque Fire Dept. (Partial Coverage) Key West Volunteer Fire Dept. (Partial Coverage) Airport Maintenance Rotation 1 Rotation 2 City of Dubuque Public Works Contractor *To reach anyone in this list, please dial (563) 589-4236. Press 1 if you reach voicemail to be transferred to the Operations Specialist on duty. Succession will take place if the following occur: • Incapacitation of Command or Successor (III, Injured, or Deceased) equal or greater than 14 Days • Unavailable due to distance, travel, or limited communications during disaster event Successors will be notified via phone, email, letter or radio (based on appropriateness) when necessary. Delegations of Authority Authority will be delegated by the Airport Director or the 1st successor listed above for each position. Page 7 of 13 Dubuque Regional Airport Continuity of Operations Plan Section III. Alternate Operating Facilities & Service Delivery ❖ Facilities Available: Dubuque Jet Center / Airport Administration Building Structure Two Levels, Hangar Space, Offices, Lobby, Pilot Lounge Utilities Water & Sewer, Electricity, Shower Communications Phone, Internet, Radio Equipment and/or Systems Office Desks, Computers, Printer, Accounting Software Operations / Maintenance Building Structure Two Levels, Maintenance Bays, ARFF Truck Bays, Utilities Water & Sewer, Electricity, Shower Communications Phone, Internet, Radios (ATC, Emergency, Airport Handheld) Equipment and/or Systems Office Desks, Airport Documents, Computers, Servers, Printer, Tools, Spare Parts, Maintenance Trucks, Red 3, Red 4, Red 5, Medical Supplies Airport ermina is - • Structure Several Offices, Storage Rooms Utilities Water & Sewer Communications Internet Equipment and/or Systems Office Desks, Computers, Printer Structure Utilities Communications Equipment and/or Systems Alternate Service Delivery Office located in hangar Water & Sewer, Electricity, Phone, Internet, Radios (ATC, Airport Handheld) Office Desks, Computers, Identify alternate service delivery methods of essential functions, if necessary, in order to prevent spread of disease. ■ Employees will self-isolate/shelter in place as much as possible on and off shift through physical barriers and social distancing ■ Employees are expected to follow IDPH and/or CDC Guidelines, especially when human interaction is required ■ Handheld radios will be utilized to communicate with one another when completing functions ■ For positions capable, telecommuting should be attempted, and service delivery performed via the internet ■ All non -essential programs or functions will be suspended until event has passed Page 8 of 13 Dubuque Regional Airport Continuity of Operations Plan Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. > Airport Motorola Handheld Radios > City/ County 800 MHz Radio System ➢ Airport UNICOM / CTAF Radio ➢ ARFF Alert System > TSA Security Alert System ❖ Address method of transferring/replicating critical communications at the alternate site > All required communication equipment either exists, will be relocated to the new site or other equipment will be brought in that will allow employees access to the communication chain. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. > Departments will communicate with each other via phone, cell phone, email, and/or handheld radio ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public > Other organizations and outside crews will maintain communication with the airport via phoneline or by internet. ■ For aircraft -related communication, standard VHF radios will suffice ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. > Critical access will be performed via internet access Section V.Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records > The Airport Emergency Plan hardcopy is stored in the operations building while an electronic copy is on the H-Drive of the airport server which is backed up each evening. > All Policy and Procedural related materials are kept within the administration and operations areas. ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records > Laserfiche ➢ Finance Plus ➢ Documents kept on H-Drive of the airport server or on file in accountant's file cabinets Page 9 of 13 Dubuque Regional Airport Continuity of Operations Plan Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll Electronic No Budget Electronic No Accounts Payable and Receivable Electronic No Training Records Electronic No H-Drive Incident Reports Electronic No H-Drive Planning Documents Electronic Foth Engineering No Airport Certification Manual Hardcopy FAA No H-Drive Airport Security Plan Hardcopy FAA No H-Drive Badging and Credentials Electronic No H-Drive Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • The Airport Director or designee will execute this plan in event of an emergency or dire situation. A decision tree is shown in Appendix I to provide detail to the process. ❖ Phase II: Alternate Facility Operations • Upon arrival, ensure that space is unoccupied • Verify communications operate properly via handheld radio • Confirm with employees that you are ready to be operational and notify others that you are back in service • Establish workspace and test utilities • Finalize safety and security features. ❖ Phase III: Reconstitution and Return to Normal Operations • Upon determination by the Airport Director or designee, workplace operations will begin the migration back to normal posts. Page 10 of 13 Dubuque Regional Airport Continuity of Operations Plan ■ Until notified, departments should remain at their locations until they are cleared to return to their building ■ The Airport Director or designee will ensure all systems are operational and function properly before crews return to normal operating conditions ■ Notification to employees will be directed through radios, emails, or by phone, whichever is deemed appropriate Page 11 of 13 Dubuque Regional Airport Continuity of Operations Plan Section VII. Tests, Training and Exercises Employee plays a role in the airport's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire airport. To achieve this, the airport should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: ■ Annual review of department COOP ■ Annual department testing and exercising of COOP plans and procedures ■ Annual testing of emergency alert and notification procedures and systems ■ Refresher orientation of COOP staff Page 12 of 13 Dubuque Regional Airport Continuity of Operations Plan Continue as normal and monitor for changes APPENDIX I — DECISION TREE Yes Remain in place and monitor situation for changes No Trigger Event f▪ an Normal Business Take ▪ Place? No Staff notified of situation via phone, email, or radio alerts r Does workspace'',, uire relocation? Wait for approval and then acquire essentials and move to designated location Remain at relocated post Airport Director or designee addresses the situation and implements COOP Upon ap p roval, begin migration ack to norma posts Page 13 of 13 Dubuque Regional Airport Continuity of Operations Plan 2012 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Finance Department April 3, 2020 Purpose: This Continuity of Operations Plan (COOP) for the City of Dubuque Finance Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -- with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed no department will direct the implementation of their respective COOP Plans without coordination with other City departments (depending on the event). • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Director of Finance and Budget. Page 1 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Department of Finance + Budget COOP Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. A. Essential Functions: The department's activities have been categorized as either: Critical: Discontinuation of activity would immediately halt internal, organization - wide operations and/or prohibit external customers from accessing services. Activity involves daily deadlines. Priority Definitions + Time Criticality AAA = Max. suspension of 0 days AA = Max. suspension 0.5 — 1 day A = Max. suspension of 1-3 days Important: Discontinuation of activity would result in delayed information or action for internal and/or external customers. Activity involves frequent deadlines. B = Max. suspension of 5 days Non -Critical: Discontinuation of service would result in increased workload prior to deadline to remedy temporary discontinuation of service. Activity involves periodic or annual deadlines. C = Max. suspension of 1 week+ Prioritized Listin • of Essential Functions for Finance Department Critical Functions Activity Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Accounting Payroll AAA Teresa Putchio Kate Weidemann Kayla Morrison GoToMyPC, computer, printer, paper, postage, cell phone Utility Billing Billing accounts, financial interface AAA Rose Hoerner Brandi Baumhover Kate Weidemann GoToMyPC, computer, printer, paper, cell phone Utility Billing Customer Service AAA Dawn Carr Karen Pins Chuck Harris Jenni Welsh Brandi Baumhover Vickie Wilwert Rose Hoerner GoToMyPC, computer, printer, paper, cell phone Utility Billing Payment Processing and bank deposits AAA Jenni Welsh Dawn Carr Chuck Harris GoToMyPC, computer, printer, paper, stapler, Page 2 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Rose Hoerner deposit stamp, cell phone Utility Billing Parking Ticket payment processing/Billing AAA Vickie Wilwert Holly Andresen Chuck Harris GoToMyPC, computer, printer, paper, stapler, deposit stamp, cell phone Accounting Accounts Payable AAA Nathan Kelleher Tony Breitbach Elena Fox GoToMyPC, computer, cell phone, AP envelopes, check stock, postage Accounting P-Card Processing AAA Nathan Kelleher Tony Breitbach Elena Fox GoToMyPC, computer, cell phone, scanner, department reconciliation info Accounting Bank ACH/Wire approval AAA Cassie Ross Jenny Larson Tony Breitbach GoToMyPC, computer, cell phone Accounting Electronic Transaction Approvals/Journal entry approvals/ payments over $1,000 AAA Cassie Ross Jenny Larson Tony Breitbach GoToMyPC, computer, cell phone Budget Revised FY21 Budget Recommendation AAA Jenny Larson Rachel Kilburg GoToMyPC, computer, cell phone Budget FY20 Budget Amendment AAA Rachel Kilburg Jenny Larson GoToMyPC, computer, cell phone Accounting Misc. Billing AAA Cindy Schroeder Kate Weidemann GoToMyPC, computer, printer, paper, cell phone, envelopes, postage Accounting Treasury. Process/post payments AAA Kate Weidemann Cindy Schroeder Elena Fox GoToMyPC, computer, printer, paper, cell phone, envelopes, postage Purchasing Procuring necessary supplies and equipment and contract negotiation/ review AAA Tony Breitbach Jenny Larson Nathan Kelleher Cassie Ross GoToMyPC, computer, cell phone Important Functions 1 Activity Essential Function Priority: B Staff/Back-up Equipment/Data/Office Supplies Accounting Insurance/Claims management B Tony Breitbach Jenny Larson Cassie Ross GoToMyPC, computer, cell phone Page 3 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Accounting Mail Distribution B Chuck Harris Ella Lahey Cassie Ross Physical onsite presence Non -critical Functions Activity Essential Function Priority: C Staff/Back-up Equipment/Data/Office Supplies Accounting Investment Reporting C Nathan Kelleher GoToMyPC, computer, cell phone Accounting Landfill Reporting C Nathan Kelleher GoToMyPC, computer, cell phone Accounting Bank Reconciliations C Elena Fox Arielle Swift GoToMyPC, computer, cell phone Accounting Grant Management and Reporting C Elena Fox Cassie Ross Arielle Swift GoToMyPC, computer, cell phone B. Identify Resource Requirements Activity Essential Function Priority (AAA, AA, A) Minimum Staffing Required Resources Required Accounting All Accounting Functions as noted above AAA, C 1 - Accountant Computer (1) Financial Software Utility Billing All Utility Billing Functions as noted above AAA 2 - Cashiers Computer (2) Phones (2) Utility Billing Software Treasury Treasury Functions as noted above AAA 1-Treasury* Computer (1) Phone Financial Software Payroll Payroll Functions as noted above AAA 1 - Payroll Acct.* Computer (1) Phone Financial Software Purchasing Purchasing Functions as noted above AAA, B 1 Purchasing Computer (1) Phone Financial Software Budget Budget Functions as noted above AAA 1 Budget Computer (1) Phone Financial Software Page 4 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Administration Administration functions as noted above AAA, C 1 - Confidential Account Clerk (or similar skills) * 1 - admin with approval authority* Computer (1) Phone Financial Software * = position can operate on limited time/part-time basis if necessary 1. Identify Key Personnel + Backups • Primary and secondary personnel for each activity are identified in Part A of this section for all categories of functions. • Additionally, the director or acting director may re -assign staff based on department needs if minimum training is provided. (Note: COOP cross -training may be not be as extensive as cross -training would be in normal circumstances.) 2. Identify staff rom non -essential areas that can be cross -trained to backfill essential functions. • Please refer to Attachment ' for a list of current personnel with cross -training experience and estimates for how long it would take to cross -train an employee in each activity. • Please refer to Section II of this document (Lines of Succession/Delegations of Authority) to identify individuals who should already be cross -trained in an activity if listed as a successor. 3. Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc. to complete essential functions. • Bohnsack & Frommelt firm has previously been contracted to assist with writing CAFR. • Confidential Account Clerk activity could be completed by another staff member in the department, re -located employee Connie Mueller (Health Dept.), or by another department manager or clerical staff (ideally CMO or HR). • Retired department directors Jean Nachtman and Ken Tekippe may be available to assist in emergency. • Relocated employees Jane Glennon and Arielle Swift may be available to assist in emergency. 4. Identify Equipment, critical data and records, hardcopy documents, and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Item Location Essential software: CommunityPlus, FinancePlus, Cognos, and WaterSmart, AIMS City network (or via GoToMyPC) Payroll records F: Drive (city network) Laserfiche Web Client Accounts Payable records Laserfiche Web Client Page 5 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations FinancePlus (City network) General Office Supplies (Pens, Paper, Folders, etc) City Hall or Procured online/locally Printer/Scanner (If no smart phones available) City Hall or Procured online/locally 5. Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. • Staff development (education/training), new projects, bank reconciliations. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. A. Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Position Successor 1 Successor 2 Director of Finance and Budget Tony Breitbach Cassie Ross Payroll Accountant Kate Weidemann Kayla Morrison Purchasing/Contracts Coord Jenny Larson Cassie Ross Accounts Payable Accountant Elena Fox Tony Breitbach Misc. Billing/Treasury Cindy Schroeder Elena Fox Utility Billing Supervisor Brandi Baumhover Kate Weidemann Budget/Financial Analyst Elena Fox Kayla Morrison B. Establish succession procedures 1. Conditions under which succession will take place: incapacitation (ill, injured, dead) during COOP emergency or unavailable during event (travel/communications). 2. Method of notification: Phone, email, memo, NotifyMe, as appropriate for timeliness. C. Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Authority shall be delegated for... To... Under the conditions of... Except/Until... Operations modifications for continuity of service Purchasing and Contracts Coordinator Shutdown of City Hall Duration of COVID-19 event Approval of department expenses/contracts Purchasing and Contracts Coordinator Shutdown of City Hall Duration of COVID-19 event Page 6 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Personnel -related actions Assistant Director of Finance Shutdown of City Hall Duration of COVID-19 event Official memo drafting/approval Purchasing and Contracts Coordinator Shutdown of City Hall Duration of COVID-19 event Section III. Alternate Operating Facilities & Service Delivery A. Identify an alternate facility capable of supporting essential functions, positions, and personnel. Assume loss of use of primary operating facility. • Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats. • Identify sufficient space and equipment to sustain the relocating organization. • Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc). • Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning). • Provide for sustained operations within 12 hours and for a period of up to 30 days. • Address considerations for the health and safety of relocated employees. • Address physical security and access controls. *Near -Site Location: Public Works Large Conference Room or EOC Small Conference Room depending on location of catastrophe Required: Structure / Facilities Weather proof, minimum of 750 square feet of space. Ability to accommodate large tables or numerous desk with ample 110 outlets and one 220 outlet for mail machine Utilities Water, sewage, electricity Communications (Including Voice and Data Transmission Voice and data transmission lines Equipment and/or systems High speed internet access, office desks Facility specific Emergency Response Plans, equipment (health and safety items) Fire suppression system, back-up power generator, handicapped accessible, multiple ingress/egress points Parking Accessible Parking Security Ability to lock facility when no one is operating. Safety alarms to monitor area. Sufficient outdoor lighting Page 7 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations *Note many of the services that the Finance and Budget Department provide can be done remotely therefore limiting the need for space. Location would serve more as a home base rather than an office during emergency event for staff. B. Identify alternate service delivery methods of essential functions if necessary, in order to prevent spread of disease. • Finance has been pushing for a Paperless department. This started with Budget documents and was also implemented with the Accounts Payable function. We continue to utilize laserfiche and sharefile software to limit the need for departments to have paper thus limiting interactions. • If necessary mailing services can be procured through outside firm (Welu printing or would work with machine provider for additional options) • Identify the department's technology needs related to large-scale telecommuting. Refer to Attachment 2 to view current employee remote technology access. • Employees will be expected to operate remotely for duration of COVID-19 pandemic, unless notified otherwise. Some employees may be assigned a rotating or flex schedule to accomplish social distancing. Section IV. Interoperable Communications A. Identify the critical communication systems that support the department essential functions. • Phone lines • Internet Access • Billing letters: print + digital (AIMs, CommunityPlus) B. Address method of transferring/replicating critical communications at the alternate site. • Coordinate with Information Services to deploy city -owned computers or phones for telecommuting. • Ensure telecommuting sites are equipped with high-speed Internet. Coordinate with Information Services to deploy city -owned AirCards or HotSpots for telecommuting. • Personal cell phone numbers may be used in place of city -owned phones for internal communications. • Re -assigning department, city -owned cell phones to frontline customer service cashiers is a possibility (During COVID-19 all staff were provided access to City Cell Phones and Computers). Page 8 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations C. Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. • If City phone systems are available, continue use as normal with forwarding or use of city or personal cell phone numbers. • If City phone systems are unavailable, implement phone tree with personal phone numbers. D. Establish procedures for communication with other organizations, emergency personnel, critical customers and the public. • Intra-department communications: e-mail and phone tree. Please see Attachment 3 for internal phone tree. • Inter -department communications: e-mail and CODI. • External communications: Please see billing/mailings alternate process during COOP activation. Use of City Social Media accounts, NotifyMe, and notices posted outside City Hall and on City Channel 8 will be invoked as needed. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. A. Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records. • A copy of this COOP and other emergency plans/procedures are stored on City F:/ drive folders. • Employees should assume responsibility for back-up storage of documents using OneDrive, Laserfiche, USB memory sticks, external hard drives, or paper copies. o Files should be backed up weekly at designated time during COOP activation to OneDrive, Laserfiche, or external storage. Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll Electronic Laserfiche Handled by IS Handled by IS Accounts Payable Electronic Laserfiche Handled by IS Handled by IS Budget Electronic Laserfiche Handled by IS Handled by IS Employee Records Electronic F Drive Handled by IS Handled by IS Insurance Electronic F Drive Handled by IS Handled by IS Contracts/purchasing Electronic F Drive Handled by IS Handled by IS Section VI. COOP Implementation Page 9 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations This section addresses the process by which the COOP plan is implemented. A. Phase I: Activation and Relocation • Activation will begin and continue through the duration of City Hall closure and any additional days in which organization leadership recommends or mandates telecommuting. • Communicating activation of COOP: • Employees will be notified via phone call and/or e-mail. Both will indicate response is required to ensure notification was received. • Employee roster and contact information is located here. • Employee phone tree may be implemented (see Attachment 3) B. Phase II: Alternate Facility Operations • Unless otherwise indicated, employees will be expected to work and be available for contact during regular working hours (Monday — Friday, 8 a.m. — 5 p.m.) • Employees who have been assigned rotating or flex schedules during activation of the COOP are outlined in Attachment 4 of this document. • Employees requiring equipment, software licensing, or reimbursement in order to telecommute should contact acting Department Director via e-mail to indicate the request/need. • All established remote business processes are currently summarized in OneDrive here and backed up in in F: drive > Finance Procedures folder + Laserfiche Finance Confidential > Process + Procedures Folder. An ongoing list of remote business process needs is saved here. C. Phase III: Reconstitution and Return to Normal Operations • Upon determination by organization leadership, the Department Director (and assisting leadership staff) will develop a schedule and procedures for returning to normal operations. This includes notification to other departments of returning to normal internal business process. • Notification of returning to normal operations will be conducted via e-mail and/or phone call by department leadership and will indicate if a return response is needed to ensure receipt of notification. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. Page 10 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Due to the COVID-19 pandemic, a process for annual review and testing will be revisited after this event has ceased and operations have returned to normal. A. Future development of Test, Training and Exercise plans will include: • Inclusion of department COOP in new employee orientation • Annual review of department COOP • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Refresher orientation of COOP staff Attachment 1 Finance Department Cross -Training Summary Employee Currently Cross -Trained In: Jenny Larson, Director Finance Operations Cassie Ross, Asst. Director Accounts Payable, JE and P-Card Processing (Recent new hire - was previous Finance intern) Tony Breitbach, Purchasing and Contracts Coordinator Supervisory, P-Card Processing, Accounts Payable , Risk Management Rose Hoerner, UB Supervisor UB Operations Arielle Swift, Temporary Relocation Accounts Payable, P-Card Processing, Treasury functions, Grants Ella Lahey, Confidential Account Clerk All UB/Accounting Operations Nathan Kelleher, Accountant Treasury Operations Cindy Schroeder, Account Clerk UB Cashier, Billing, Treasury Operations Brandi Baumhover, Account Clerk UB Operations Dawn Carr, UB Cashier Parking payments Karen Pins, UB Cashier Parking payments Page 11 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Teresa Putchio, Payroll Acct. Finance Operations Kate Weidemann, Accountant UB Operations, Treasury, Payroll Jenni Welsh, UB Cashier Parking Payments Rachel Kilburg, Budget Analyst Parking payments Elena Fox, Budget Analyst Bank reconciliations, accounts payable, Grants Kayla Morrison, Budget Analyst Payroll Kendra Witte, Intern Off- Internship Complete Cody Funk, Intern Off- Back in the Fall Estimated Cross -Training Time Commitment: Essential Services Function Estimated Time Needed to Train Normal Process Documented? Remote Process Documented? Payroll 4 Weeks Y N Customer Service 1 Week Y N Billing Accounts 2 Weeks Y N Financial Interface 4 Weeks Y N Payment Processing 3 Weeks Y N Bank Deposits 3 Weeks Y N Accounts Payable 3 Weeks Y N P-Card Processing 2 Weeks Y N Bank ACH/Wire Approval 1 Week N N Electronic Transaction/JE Approvals 1 Week N N Revised FY21 Budget 5 Weeks Y Y FY20 Budget Amendment 8 Weeks Y N Misc. Billing/Treasury 3 Weeks Y N Procurement 3 Weeks Y N Contract negotiation/review 4 Weeks Y N Insurance/Claims Mgmt. 5 Weeks Y N Investment Reporting 3 Weeks Y N Landfill Reporting 2 Weeks Y N Bank Reconciliations 3 Weeks Y N Mail Distribution 1 Week Y N Page 12 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Attachment 2 Current Telecommuting Technology/Resource Access Computer Phone Printer GoToMyPC Scanner Vehicle Internet Brandi Baumhover x X X X X X X Tony Breitbach X x X X X Dawn Carr x X X X X X Elena Fox X x X X X Cody Funk x X X X Chuck Harris X x X X X X X Page 13 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Rose Hoerner x X X X X X Nathan Kelleher X x X X X Rachel Kilburg x X X X X Ella Lahey X x X X X Jenny Larson x X X X X X X Kayla Morrison X x X X X Teresa Putchio x X X X X Cassie Ross X x X X X Cindy Schroeder x X X X X Kate Weidemann X x X X X Jenni Welsh x X X X X X Vickie Wilwert x X X X X Kendra Witte X x X X Attachment 4 COVID-19 Finance Department Schedule Employee Method Monday Tuesday Wednesday Thursday Friday Baumhover, Brandi Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Breitbach, Tony Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Carr, Dawn Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Fox, Elena Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Page 14 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Funk, Cody Remote OFF OFF OFF OFF OFF Harris, Chuck Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Hoerner, Rose Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Kelleher, Nathan Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Kilburg, Rachel Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Lahey, Ella Remote OFF 8:00-5:00 OFF 8:00-5:00 1:00-5:00 Larson, Jenny Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Morrison, Kayla Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Pins, Karen Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Schroeder, Cindy Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Weidemann, Kate Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Welsh, Jenni Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Wilwert, Vickie Remote 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 8:00-5:00 Witte, Kendra Remote OFF OFF OFF OFF OFF Page 15 of 15 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Housing & Community Development Department Date April 16, 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Housing & Community Development Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and the Director of Housing & Community Development. Page 1 of 8 Section I. Essential Functions/Services* Prioritized Listing of Essential Functions for Housing & Community Development Department Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Section 8 Check Run A-1 C. Richter, G. Hodgson Computer, Check Printer, Checks, Access to Elite Section 8 Interim/Annual Changes A-2 Caseworkers and Assisted Housing Secretary/GO team Computer, Access to Elite, Access to REAC, EIV, PIC, Paper files for each client Section 8 Interim/Annual Changes (open mail) AA Any Mail, Scanner, Client Files General Housing Critical Residential Failure Inspections A-1 Inspector I, General Housing Specialist, Supervisor Vehicle, iPad, Accela CoC Payments to Contracted Services and Draws through eLoccs for payment (Pays landlords for rent) A-1 G. Hodgson, A. Steger eLoccs, FinPlus, computer, invoice from Contract Section 8 Move -in Inspections A-3 Inspector I, General Housing Specialist, Supervisor Vehicle, iPad, Elite, Accela All Divisions Payroll A-4 All Computer, Scanner, FinPlus, Laserfiche Forms Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies CDBG Loans Deposits B L. Barton, Housing Director, Rehab Supervisor Computer, Deposit book, Loan System, vehicle, finplus General Inspections Deposits B Permit Clerk, Housing Director, Inspection Supervisor Computer, deposit book, loan system, vehicle, finplus CDBG Allocations Process requests for funding B C. Lester, Housing Director, L.Barton, Rehab Supervisor Computer, IDIS, FinPlus Section 8 Waitlist Maintenance B T.England, All caseworkers, GO Team Computer, Mailing equipment, Elite, phone CDBG Quarterly Reports/Consolidated Plan/Annual Plan B L. Barton, C. Lester, A. Steger Computer, IDIS, email Page 2 of 8 Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Section 8 Annual/bi-annual inspections C Inspector I, General Housing Specialist, Supervisor iPad, Vehicle, Accela, Elite CDBG Loans Deferred Payment Agreements, subordination, loan payoffs, and lien releases C L. Barton, A. Steger Computer, Loan System, Mailing equipment CDBG Draws C L. Barton, C. Lester, Housing Director Computer, IDIS, FinancePlus All Divisions Pay Bills C All Computer, Scanner, FinPlus, Laserfiche Forms Bee Branch Healthy Homes Bid Tours/Contracts C ECIA, Resiliency Coordinator Computer, vehicle Lead & Healthy Homes Bid Tours/Contracts C Lead & Healthy Homes Supervisor, Inspector, Housing Financial Assistant Computer, vehicle Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. ❖ Lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Director Assisted Housing Supervisor Rental Licensing & Inspection Supervisor Assisted Housing Supervisor Assisted Housing Coordinator Rental Licensing & Inspection Supervisor Inspector II General Housing Specialist Rehabilitation Supervisor Community Development Specialist Neighborhood Development Specialist ❖ Succession procedures ■ Communication with leadership must be attempted for 24 hours before successor takes action, unless direct authority from leadership to move to successor is established or incapacitation (ill, injured, dead) of leadership. ■ When time is critical; City Manager can move to any successor for authority. • When this occurs, the decision must be conveyed to all listed successors and the leader immediately through email/text/phone or other means as available. • Should communication be unavailable, notification of the decision will be conveyed to others within 24 hours. Page 3 of 8 Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Building Code Official (Housing & Comm Devel. Director) Modifications/Temporary Occupancy Certificates/Relocation/C ondemnation Rental Licensing & Inspections Supervisor Director is incapacitated or emergency decision needs to be made and no contact can be established All permanent modifications/decisions will be suspended. Temporary direction only Executive Director of PHA (Housing & Comm Devel. Director) Approve suspension/deviation from Admin Plan, Assisted Housing Supervisor Director is incapacitated or out of communication for more than 7 days, or within 24 hours of month end, whichever is less. Temporary deviations from the admin plan. No permanent changes to City Council without prior approval from HUD and the Director. Payroll/Purch ase Order Approvals Approve employee timesheets, final pay amounts, purchase orders and invoice payments to vendors Assisted Housing Supervisor, Community Development Specialist Director is unavailable or does not have proper access to complete the approval Authority for signing mortgages, liens, loans, or other such documents does NOT apply to this delegation. Those revert back to approval by the City Manager, until City Council authorizes new delegation of that authority by Resolution Page 4 of 8 Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ Alternate facilities capable of supporting essential functions, positions, and personnel. Housing & CD — Division/Activity Positions Needed for Critical & Important Functions Alternate Location(s) Physical requirements of space General Housing — Rental Licensing & Inspections Rental Licensing & Inspections Supervisor and Permits Clerk City Hall in office with Building Services Two workstations with computers, network connectivity, and access to a printer. General Housing — Rental Licensing & Inspections Inspector II; General Housing Specialist; Inspector I (x3); Nuisance Specialist Able to work remotely from home and in city vehicles Internet connectivity provided by mobile devices. Desktop computers will be needed if duration exceeds 1 week. Administrative Staff & Assisted Housing Housing Director; Assisted Housing Supervisor; Housing Financial Specialist City Hall in office with Finance Department or other spaces (e.g. Conference Room) Three workstations with network connectivity and printer access Assisted Housing Assisted Housing Coordinator; Assisted Housing Secretary; Caseworkers (x3); FSS/GO Caseworkers (x3) Multicultural Family Center 8 workstations with network connectivity, desktop computers, table and/or area for file storage, one private meeting area CDBG Community Development Specialist; Rehabilitation Supervisor Leisure Services Office (Multicultural Family Center) Two workstations with network connectivity and access to a printer ➢ All identified alternative operating facilities have the capability of housing files/data and other means required to continue operations. However, employees will need to work where there is space. This can be provided in any building with internet connection, including several locations (not all employees need to be housed together) • Alternative Facilities other than listed above that can be utilized: • Municipal Services Center; Main lobby 2 workstations; Training Room, 4 workstations/8 with wireless capability • Emergency Operations Center; 4 workstations in either/each conference room. • City Hall Annex; After Human Rights move to MFC — Can Accommodate Admin/CDBG staff. ❖ Alternate Service Delivery ➢ Alternate service delivery methods of essential functions if necessary in order to prevent spread of disease: • Flex Schedules are allowed upon notification of the employees' supervisor. Employees under Operating Engineers Union Contract have restrictions that will be conveyed to the employee by the supervisor. • Need to move to paperless file system for Section 8 and CDBG. • Until then, files are delivered to individual homes and handled with proper PPE (gloves). • All documents that can be scanned, will be shared electronically • 2-4 essential employees prepare and deliver files each day, as well as open mail and scan all documents. Page 5 of 8 Section IV. Interoperable Communications ❖ Critical communication systems that support the department essential functions ➢ Phone, Email, Internet for Federal Communications ❖ Method of transferring/replicating critical communications at the alternate site ➢ Phones transferred to other extensions/cell phones, Microsoft Teams, Sharepoint for all other communications ❖ Procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ➢ Microsoft Teams for each division, gotomeetings for each "physical" meeting that had been scheduled ❖ Procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Public Communication Methods • Social Media, Mailings, Postings to be Places across the City, Phone, Email ➢ Emergency Personnel • Email, Phone, Radio (Housing Officer) ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. ➢ Have to maintain network connection. In the event that drops, need to establish secure internet for: • Gotomypc to get to Elite/EIV/PIC/REAC to process Section 8 files/checks • Accela to process move -in inspections and critical residential failures • WebQA to process citizen requests Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. (Confidential Information Identified with Blue highlight) Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre- positioned at Alternate Hand carried to Alternate Facility Backed up at Third Location (at:) Facility Section 8 Client Files (including waitlist) Hardcopy, office file cabinet main hall X None CDBG Loan Files Hardcopy, CDBG office file cabinets and basement of Federal Building X None CDBG Construction Files Hardcopy, Rehab Supervisor office file cabinets X None Lead & Healthy Homes Client Files Hardcopy, Lead Office File Cabinets X None Bee Branch Healthy Homes Client Files Hardcopy, Bee Branch Office File Cabinets X None Bee Branch Healthy Hardcopy, electronic X Electronic is Homes Draw Files back-up Lead & Healthy Homes Draw Files Hardcopy, electronic X Electronic is back-up Page 6 of 8 Continuity of Operations Plan Hardcopy (Housing Directors Office File Cabinet), electronic X Hardcopy back - up Section 8 Admin Plan Hardcopy in all Section 8 employee offices, Electronic X Electronic Back-up Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery: • Relocation notification sent by email/Phone Tree • Follow-up instructions will be sent through email or the use of phone tree • Daily Updates provided in email • Establish essential employees to move files to alternate locations (continual or permanent) • Transfer Phones to alternate locations short-term • Equipment set-up requests to Information Services: Essential Employees On -site • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • Department Call List (phone tree) to be used when Emergent Changes Have Been Made. • Email follow-up to all employees in the Department ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. • Equipment set-up requests to Information Services: Essential Employees working off -site • Equipment set-up requests to Information Services: Non -Essential Employees • Set-up Teams for each division to coordinate work • Transfer phones to alternate location long-term ❖ Phase III: Reconstitution and Return to Normal Operations • Procedures for returning to normal operations. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. ➢ Prep of primary facility (cleaning, set-up of equipment) ➢ Delivery of all physical files back to primary facility • Inventory of all files ➢ Temporary equipment returned to Information Services • Inventory of equipment ➢ Meeting to determine when non -essential functions will begin ➢ Review of any new Federal/State Guidelines established ➢ New deadlines set for all work delayed ➢ Identification of vacated roles/responsibilities, prioritize hiring/filling roles • Address notification procedures for all employees returning to work. ➢ Department Call List (phone tree) ➢ Email follow-up to all employees in the Department Page 7 of 8 Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: ■ Annual review of department COOP ■ Annual department testing and exercising of COOP plans and procedures ■ Annual testing of emergency alert and notification procedures and systems ■ Refresher orientation of COOP staff ■ Review during New Employee Orientation Page 8 of 8 2012 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Transportation Services Department March 30, 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque TRANSPORTATION SERVICES Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and RENEE TYLER Department Manager. Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department • Prioritize the Essential Functions as measured by time criticality. • Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Prioritized Listing of Essential Functions for TRANSPORTATION Department Page 1 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Transportation Services Transportation for the City's Citizens AAA Vehicles, storage, routing software, radio communications, maintenance. Parking Division Enforcement of emergency vehicle parking and vehicles parking in designated zones. A Police Department This function would be reduced to emergency zone enforcement (i.e., loading, fire, ADA) Payroll Paying of employees B+ Parking Account Clerk/Confidential Transit Clerk Internet, computer, phone, Time sheets. Fiance Plus Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Accounts Receivable/Billing P.O and paying of Bills for department B Parking Account Clerk/Confidential Transit Clerk *Bus driver has been trained in this department for emergency. Phone, internet, computer, Finance plus and laserfich. Approvals Approvals of P.O from Transit and Parking Departments. B Renee Tyler Justin Harris- Davis Internet, Computer, Finance Plus Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Parking Parking Enforcement- meters, ramps, surface lots C NA Radios, phone tablets, AIMS, Passport ❖ Identify Resource Requirements ■ Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. • Establish staffing requirements needed to carry out essential functions. • Identify key personnel and backups. V Admin backup is dispatchers and confidential clerks ✓ Facility and Maintenance back is parking technicians and parking enforcement personnel. • Identify staff from non -essential areas that can be cross trained to backfill essential functions. ✓ Both confidential clerks are crossed trained to dispatch. Page 2 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ✓ Parking Divisions' confidential clerk is crossed trained for payroll and invoicing ✓ Parking Enforcement crossed trained to maintain communications with the department using telephone trees, text and communication. • Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc. to complete essential functions. ✓ Former drivers in good standing with the City ✓ School bus drivers that have driven from the City ✓ Volunteer fleets (i.e., DuRide) to assist with transporting passengers with critical needs (i.e., medical appointments, dialysis, grocery shopping) • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. • Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. ✓ Suspension of parking enforcement for meters, surface lots and ramps. ✓ Daily processing of employee payroll records ✓ Accounts payable Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Director of Transportation Services Operations Supervisor Field Operations Supervisor Operation Supervisor Field Operations Supervisor Garage Laborer Field Operations Supervisor Service Worker Parking Technician Service Worker Service Worker Parking Technician ❖ Establish succession procedures ■ Conditions under which succession will take place ✓ Incapacitation (ill, injured, dead) during COOP emergency or >14 days ✓ Unavailable (distance/travel/communications) during disaster event • Method of notification ✓ Phone, 2-way radio, email, memo as appropriate for timeliness. ✓ Inability to come to work during the event due to travel restrictions • Terminating conditions ✓ No call/no show Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. Page 3 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Emergency Operations Command Direct operational activity Operations Supervisor Field Operations Supervisor Emergency Operations Within legal authority provided to Dir of Transportation Services during an emergency event Purchase of services and supplies Purchase of items determined essential and time critical to response activities Field Operations Supervisor Emergency need based on time critical event, or essential supplies to maintain critical function Applies to items necessary to maintain critical function capability 2-way radio Communications critical Maintenance Tech or Dispatcher Land line phone Communication Phone Communications with staff and essential to operations Transit and Parking Clerks Cell phone Communication Lock down of facilities Facility Site Security Garage Tech Threating Conditions (i.e., bomb or chemical threat) Physically life threatening emergency operations Section III. Alternate Operating Facilities & Service Delivery Facility Alternate Sites Near -Site Location: Required: Intermodal Hub: surface lot at 11th and Elm Access and room for buses to pick up and drop off passengers. 2401 Central Ave. (bus storage) Water, Sewer, electric, Wi-Fi. Remote Dispatching Laptop up fitted with routing software, ability to remote in; dispatch radio Crescent Community Health (dispatch/parking HQ) Water, Sewer, electric, Wi-Fi, telephone landline. Access and room for buses to pick up and drop off passengers. Establish temporary offices. City Hall (if Millwork intermodal is not accessible for picking up and dropping off passengers) Access and room for buses to pick up and drop off passengers. Page 4 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Alternate Service Delivery • Suspension of lobby services, fire company business inspections, public education events, etc. to minimize contact with non -essential persons. • Implement personnel distancing policy to limit spread among staff. • Basic administrative functions (i.e. account clerks, analyst) can be provided remotely to allow administrative functions to continue (i.e., payroll, account billing, operations analysis, etc.). • Hours of service and shifts can be shortened for Transportation Services staff to allow flexibility with there is an extreme shortage of available personnel, or disaster -related surge in incident needs. • Essential personnel is: the Director of Transportation, Operations Supervisor, Field Operations Supervisor, Garage Maintenance, and Bus Operators. • In the event of a disaster or emergency parking rules will be suspended. Parking personnel will be used to assist with department operations (i.e. phone duty, assisting with scheduling rides, office organization as needed, etc.) • Other options include: • Suspension of vacation and other leave to maintain staffing • Mandatory overtime implementation • Internal departments rely upon each other for back up communications help. • Establish use of all available licensed drivers and staff for needs of continuing daily operations. ➢ Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. • COVID -19 EVENT DETAIL - see Appendix I for additional direction Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. ➢ Dubuque County 911 Communications Center CAD. Manual back up is available. ➢ Dubuque County 911 Public Safety 800 Radio System. This system's availability is the top priority and can substitute for most critical communications if needed. ➢ City fiber optic network is primary carrier of station alerting system, but has a backup. ➢ VHF radio with City of Dubuque Emergency Management frequency. Back up to above. ➢ Internet access. Any internet connection method (air card, etc) would maintain availability of department incident reporting, training, and inspection programs. ❖ Address method of transferring/replicating critical communications at the alternate site ➢ Alternate sites that allow for communications set up for dispatching and communicating with staff using radios, dispatch equipment, cell phones, laptops ➢ Alternate site alerting would rely on landline, cell phone and radio systems. ➢ Available department landlines can be forwarded to cell phones to maintain communication continuity with public and inter -department communications. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ➢ If phone systems are available, continue use as normal with forwarding or use of cell numbers. ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Public contact by social media and city website if available. ➢ Public service announcements to local media. ➢ Message boards outside all fire stations Page 5 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ➢ City Management radio channel for inter -city communication if phone systems, internet and cell service is unavailable. ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. ➢ Critical access is through radio system and ANY internet access. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll Electronic Finance City Hall NO City Server Accounts Payable Electronic Finance City Hall NO City Server Accounts Receivable Electronic Finance City Hall NO City Server Employee Records Electronic Human Resources City Hall YES, department personnel files City Server Training Records Electronic NO, available online NO Target Solutions Cloud Incident Records Electronic No, available online NO ESO Cloud Inspection Records and Building info Electronic No, available online NO ESO Cloud Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. See Appendices I-V • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • 2-way radio would be first line of communication to drivers. • Phone and text and email would be line of communication for drivers and staff not on duty during emergency. • Staff call lists are available on the F drive Page 6 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Lists are printed and placed on all staff desks at the JOTC and Intermodal. • Staff will relocate to a workspace that can handle the daily tasks required to maintain a normal operations level. ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. • Assure there is adequate space for staff and passengers and buses. • Maintain portable radio phone access via cell or land line, also computer access to routing software. • Confirm with staff that we are "available" and ready to proceed. • Confirm utility needs and electrical power, heat, etc. • Establish needed staff amenities. • Establish any safety and security needs with our alternative site operations. ❖ Phase III: Reconstitution and Return to Normal Operations ■ Develop procedures for returning to normal operations. • Upon determination by Transportation Director or Operations Supervisor, Field Operations Supervisor a staff member will be assigned to notify drivers of a return to normal operations status. • All staff will await orders and continue as directed until the management staff assigned above directs otherwise. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. ➢ If returning to normal facility — Officer in charge will assure all systems function using the "Alternate Facility Operations" (phase II above) ➢ If changing to another alternate location, follow phase II guidelines. • Address notification procedures for all employees returning to work. ➢ 2-way, or individual phone contact will be used to direct on duty personnel to the return too normal or change in alternate location. Section VII. Tests, Training and Exercises 1. Transportation Services will schedule exercises and training to test its Coop Plan at least once a year. The plan will be updated any time there is a change in personnel. 2. Plans will be pulled and reviewed with department managers and essential staff at a minimum of 2 times a year to ensure that the administrative, operation and emergency management procedures meet FTA requirements and the City's assets protected. Reviews will be performed prior to performing training exercises. 3. The COOP Plan will use the planning outlined in The Jule Operations and Safety Manuel for bomb threats, tornados and other acts of God or man. (APPENDIX V). Annual Department Testing and Exercising of COOP Plans and Procedures 1. Department managers and essential staff will review the Coop Plan. The department will concurrently conduct an annual department wide practice run to test the fidelity of the plan. Page 7 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 2. Managers and essential staff will review the existing policy and note updates/adjustments required to the COOP Plan. Annual Testing of Emergency Alert and Notification Procedures and Systems 1. Testing of our emergency response readiness will need to be tested at least once a year that way we can see the efficiency of the system that is in place. 2. During this review time of emergency alerts and procedures Transportation Services will perform its annual review period to ensure that system in place meets the needs of the COOP Plan. 3. All essential staff and department managers will participate in this event. 4. All records of COOP training and retraining will be kept on file in the JOTC Building in a paper copy and on the City of Dubuque hard drive. Refresher Orientation of COOP for Staff 1. A follow up refresher orientation to the COOP training will be conducted within 6-10 months for Transportation Services staff. 2. New staff will receive a copy of Transportation Services plan upon hire in either e-format or paper. 3. Upon completion of training/retraining staff records will be updated to show that they have been trained in COOP plans. The documentation will be signed off on by Department Manager. Page 8 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations APPENDIX I COVID- 19 EVENT DETAIL Assumptions and background on Transportation Services operations. • Distancing to reduce spread of disease o The Transit department operates in three distinct shifts; 2 shifts are on duty for a 8 -hour period.1 shift is on duty for a 6 hours shift. By design two-thirds of available personnel are on at any given time providing some separation of personnel to limit contact with others. o Each shift also operates from two different locations. These locations have personnel numbers ranging from 1 to 25 depending on the station and hours. o As restrictions were placed on movement of personnel to other locations during a shift, further interaction is now limited to reduced hours of operations and reduced contact with public and other staff members. o The transportation department has experienced disease spread from other contagions in the past. From that experience surface cleaning and sanitizing methods are well known and supplies are sufficient to accomplish these tasks. o Due to the nature of transportation operations, personnel are used to implementing "universal precautions" and are vigilant in its application. o Go to meetings will be established for conferences or meeting held during a pandemic situation. For those that can access the internet. We will also send a email follow up of the meeting containing agenda and meeting notes. o Meetings will be used either by zoom or some form of conference link. This link will be sent out from management. o Staff that would need to be quarantined will follow all Iowa's Public Health Guidelines for self - quarantine. Staff needing to follow these rules will do so at the instruction of there supervisors. Update on actions the transportation services department is or has taken to date (March 30). • As the guidance and information changes we will attempt to continue to update the membership. As of today (March 30) the department has implemented the following: 1. COVID 19 response General Order (1-2020 March 18, 2020) issued). Attached. 2. More frequent Command communication per week. 3. Implemented reduced hours for Jule fixed route service. 4. Latest Isolation Guidance for Fire and EMS personnel from Center for Disease Control (CDC) and Iowa Department of Public Health (IDPH) being used to address essential personnel actions. 5. Reduced hours for On Demand Bus service for para transit riders. 6. Shift personnel are directed to limit interaction with relieving personnel by maintaining distance and limiting face-to-face interaction except for short periods and six feet apart. 7. All personnel shall practice social distancing while on duty and limit any close contact with other employees to the extent practicable. 8. All transportation building is closed to the public. 9. All drivers are provided with gloves and cleaning and disinfecting materials for their buses. 10. Suspending all fare collecting for both fixed and on demand response services. 11. Personnel who are able were sent home or working remotely. 12. Training is being modified (not cancelled) to avoid groups. Page 9 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 13. Extra cleaning and sanitizing have been ordered for all locations. 14. Outside vendors are limited to entry upon sign in 15. Personnel should be practicing social distancing and if directed, self -isolation while at home. 16. Parking enforcement and maintenance staff has been instructed to were gloves and face protection when able. 17. Parking enforcement vehicles have been cleaned on regular basic and provided with wipes. 18. Meter collections has been suspended until April 30 for public. 19. Parking enforcement and parking maintenance personnel have been equipped with disinfectant tools to for cleaning and wiping down of public parking areas. Staffing obstacles: Two potential problems arise with the COVID-19 outbreak related to staffing. The first is an absence of available personnel due the threat of COVID-19. The second is an increased need of personnel to respond to the rise in incidents. Current obstacles are: ✓ cleaning of vehicles and buildings after transporting of passengers ✓ Extra hours required from all division staff to cover absences. Staffing options: There is cross training of rolls across the department to provide cover operations and service demands. The creation of a city wide drivers' database that will allow the identification of staff who currently hold a Class B CDL with passenger endorsements. Use of utility billing staff parking billing and collection when possible through e-billing and credit card processing. Page 10 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations APENDIX II COVID- 19 EVENT DETAIL TRANSPORTATION SEVICES ORG CHART TRANSPORTATION SERVICES DEPARTMENT A unified approach to providing equitable transportation options in the City of Dubuque THE JULE TRANSIT + PARKING TRANSPORTATION ANALYST DIRECTOR OF TRANSPORTATION SERVICES OPERATIONS SUPERVISOR PARKING DISPATCHERS SERVICE WORKERS TECHNICIANS y+ 1■i 1 BUS ACCOUNT r7 PARKING CLERKS ENFORCEMENT DRIVERS • OFFICERS FIELD SUPERVISOR Renee Tyler, Director of Transportation Services cell 563-599-1581 Justin Harris -Davis, Operations Supervisor cell 563-581-0967 Russ Stecklein, Field Operations Supervisor cell 563-590-9285 Barry Gibson, Service Worker 563-564-1747 Rick Zeller, Service Worker 563-543-0079 Steve Gerardy, Parking Technicians 563-590-5650 Denny Arensdorf, Parking Technicians 563-599-5601 Page 11 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations APENDIX III - JOTC EMERGENCY MANAGEMENT MEETING AREA rnur I � 0 0 zz �0 <0 22 fF .10 wz au 1/ 1Iw FEMME OXISUIREI DMOIEMPEN iwornmeo Artammalitarm FAIISMESI waa as 11.11131140. v �aowrs k4DISHENSEN1, a Page 12 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations APENDIX IV INTERMODAL EMERGENCY MANAGEMENT 2nd Floor Rm 202 • El Meniger chic Ci.Rerenc Rm Main Office Ereek Rm aouoLod ne North Lobby South Lobby S S = PUBJC SPACE Fire ExiiRgukher Fire Alarm Pull Sprinkler Shut off Water Shut Off Electrical Man Shut Off 9oier Shirt off . fNAC Shutoff (Ht Sanitary lilt Station Warm - HVAC Shut Off IS) El Emeigency Rome ERrt - Emergency System Natural G2u Shut Off Power 5upphV SAFETY EQUIPMENT, SHUTOFF AND ESCAPE ROUTE LOCATIONS Page 13 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations APPENDIX V Operations, Asset Management, Safety and Security Manual City of Dubuque Transportation Services Department Facility Locations: Jule Operations Center 949 Kerper Blvd Dubuque, IA 52001 Intermodal Center/Administration 950 Elm St Dubuque, IA 52001 Overview: The purpose of this document is to provide a framework for the ongoing development and implementation of measures that address issues of asset management, safety and security as potentially experienced by The Jule Transit System. This document presents information from the perspective of prevention; it also includes protocol that aims to minimize and contain a dangerous event should one occur. All forward thinking and planning must include acknowledgement of hazards faced within our community and in the world at -large. It is important that The Jule stays aware of social and political trends so it can continue to provide consistent, safe and reliable service to the public. Page 14 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations TABLE OF CONTENTS CHAIN OF COMMAND 16 EMERGENCY ACTION PLAN 16 ACCIDENT/INCIDENT REPORTS 17 BUILDING EVACUATION 18 CPR/1 ST AIDE TRAINING 20 BLOODBORNE PATHOGENS - GOOD SAMARITAN 20 SEVERE AND INCLEMENT WEATHER POLICY 21 FIRE & FIRE SUPPRESSION 24 ON -BOARD VIOLENCE (PASSENGER TO DRIVER, PASSENGER TO PASSENGER) 25 NONVIOLENT CRISIS INTERVENTION -DE-ESCALATING TECHNIQUES 25 VIOLENCE IN THE WORKPLACE 26 HAZARD COMMUNICATION 28 ACCIDENT PREVENTION 29 BUILDING SECURITY 29 LOSS OF POWER/POWER OUTAGE 29 THEFT, ROBBERY, LOSS OF PROPERTY 30 CIVIL DISTURBANCE OR DEMONSTRATION 30 BOMB THREAT 30 TERRORIST ATTACK 31 ASSET MANAGEMENT: VEHICLE AND FACILITY MAINTENANCE 32 ATTACHMENT A: BOMB THREAT FORM 38 ATTACHMENT B1: ACCIDENT/INCIDENT REPORT FORM 39 ATTACHMENT B2: ACCIDENT/INCIDENT REPORT FORM 40 ATTACHMENT C1: FLOOR PLAN SHUT-OFF VALVES, SWITCHES & EVACUATION DOORS 41 ATTACHMENT C2: FLOOR PLAN SHUT-OFF VALVES, SWITCHES & EVACUATION DOORS 42 ATTACHMENT D: COMMUNICATION AND EMERGENCY CODE LIST 44 ATTACHMENT E: TRAINING SCHEDULE 45 ATTACHMENT F: PROTECTIVE EQUIPMENT HAZARD ASSESSMENT 46 ATTACHMENT G: FACILITY: PREVENTATIVE MAINTENANCE & KEY CONTACTS 48 ATTACHMENT H: FACILITY: BUS SHELTERS CLEANING SCHEDULE 49 ATTACHMENT I: PREVENTATIVE MAINTENANCE INSPECTION 50 ATTACHMENT J: VEHICLE PORTFOLIO 52 Page 15 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ANNUAL REVIEW AND REVISION The Jule Operations, Asset Management, Safety & Security Program is to be reviewed annually for changes to the work procedures performed under this program, changes in OSHA standards pertaining to this program, or changes in vehicles, equipment, or facilities used or provided. All revisions to the program must be dated and initialed by the safety committee or the designated person responsible for administering this program. Date of Annual Review By: 4/10/2014 Initial creation Candace Eudaley-Loebach 10/20/2014 Update to accident procedure Candace Eudaley-Loebach 06/25/2015 Update to severe weather and power outage procedures Candace Eudaley-Loebach 12/12/2016 Update staff and add Intermodal Candace Eudaley-Loebach 1/26/2017 Update maintenance contracts Candace Eudaley-Loebach 2/3/2018 Update facility details Jodi Johnson 7/26/201 8 Include Transit Asset Management Jodi Johnson CHAIN OF COMMAND Renee Tyler —Director of Transportation Services Justin Harris -Davis — Transportation Services Operations Supervisor Russ Stecklein — Transportation Services Field Supervisor Barry Gibson — Service Worker (Operations & Training Center) Rick Zeller — Service Worker (Operations & Training Center) EMERGENCY ACTION PLAN The Transit Division Emergency Action Plan Administrator is the Transit Division Manager. This person is ultimately responsible for overseeing all aspects of the emergency plan. During an emergency event and in the event that the Division Manager is not available, the decision -making and leadership responsibilities follow the chain of command above. The Operations Supervisor has the responsibility of informing contractors and contract employees of the facility's Chain of Command and Emergency Action Plan. This information is to include the location of severe weather shelters, exit routes from the facility, evacuation assembly sites, and the function of the notification/alarm systems. The Operations Supervisor is also responsible for arranging service or repair of all fire extinguishers, notification and/or alarm systems, and other fire suppression equipment. ADDITIONAL EMERGENCY ACTION RESPONSIBILITIES 1. "Buddies" will be assigned as needed to assist disabled employees and/or customers, thereby ensuring their safety during an emergency situation (e.g. assist in their evacuation of the building). The Director of Transit Operations will appoint buddies. Page 16 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 2. Evacuation monitors will survey the facility — including out-of-the-way work areas and restrooms — to ensure all personnel have been alerted and evacuated. The Plan Administrator will appoint monitors. 3. A fire extinguisher inspection contractor will conduct annual inspections of fire extinguishers, and are contracted by Operations Supervisor. 4. Fire extinguisher operators will be trained and are assigned by plan (Bus Operators, Operations Supervisor, Maintenance Staff). 5. In the event of an emergency due to severe weather, notices will be posted at main entrances informing public that city personnel have sought shelter. Dispatch personnel will post signage. 6. The first city employee to arrive at the evacuation assembly site will be the "head counter." The head counter's responsibilities are to account for all other personnel from the facility, and to report "unaccounted for personnel" to the incident commander i.e. Fire Department or Police Department. ("Unaccounted for personnel" are those whose whereabouts are unknown and who have not arrived at the assembly site within five (5) minutes of the evacuation notification.) 7. Any and all employees should note the absence of fellow employees and report this information to the "head counter" at the designated assembly site. NOTE: When conditions are life -threatening no employee should compromise his/her safety by fulfilling additional duties. ACCIDENT/INCIDENT REPORTS Employees must report any accident or incident involving a person, vehicle or object immediately. ACCIDENT PROCEDURE If you are involved in an accident (this includes hitting a fixed object or hitting or being hit by another vehicle): 1. Check for injuries 2. Do not move the vehicle 3. Immediately radio Dispatch Office for guidance with location and injuries 4. Dispatch office will notify a supervisor and contact police 5. Request that passengers and other witnesses remain on -site 6. When police and supervisor arrive on the scene, follow all instructions 7. Complete an accident report 8. You may be required to take a drug and alcohol test based on FTA post -accident testing requirements 9. Management Staff will complete the Post -Accident Testing Form 10. Depending on the severity of the accident, you may not be allowed to complete your shift The supervisor will request a copy of the official report from the police, complete exchange of information, Drug & Alcohol Post- Accident Testing form, and take photos of all damaged vehicles or property being sure to capture the license plates of each vehicle. Page 17 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations INCIDENT PROCEDURE An incident is defined as a non -vehicle event. If an incident occurs on your bus (this includes Bus Operator or passenger injuries, verbal or physical confrontation between passengers and/or Bus Operators, etc): 1. Pull over 2. Check for injuries 3. Immediately radio Dispatch Office for guidance with location and injuries 4. Dispatch office will notify a supervisor and determine whether police should be contacted 5. Request that passengers and other witnesses remain on -site 6. Follow instructions provided by Dispatch 7. Complete an incident report at the end of your shift 8. Depending on the severity of the incident, you may not be allowed to complete your shift A complete report must be made out for every accident or incident that occurs on or involving a city employee and/or vehicle. In the case of a passenger or pedestrian accident, even though the person involved declines to give his/her name or states that he/she is not injured, the employee involved must make a full report. Failure to report the above item(s) can and will result in disciplinary action. It is the duty of the employee to attempt to obtain names of any person(s), no matter how insignificant, who could provide information as witnesses regarding the accident/incident. The names will not be given to anyone except authorized representatives of the City of Dubuque. All cases of accident or injury to an employee while on -duty must be promptly reported to the Transit Office and all necessary reports being completed and turned in as soon as possible (no later than 24 hours after occurrence) who will then report it to the Personnel Office. The City of Dubuque's designated physician for on the job injuries is Tri-State Occupational Health. In the case of severe or after-hours injuries, employees should be taken to the Mercy Hospital Emergency Room. Bus Operators are not to contribute any information other than that as required by law enforcement officers, law enforcement agencies, representatives of ICAP insurance, or to discuss claims, accident, or incidents with anyone other than authorized City of Dubuque representatives, union stewards and their personal lawyer. BUILDING EVACUATION In the event of an emergency such as a natural disaster or bomb threat, it may be necessary to evacuate the building. If an evacuation is warranted, management or supervisor(s) will order the evacuation; operations and maintenance departments will begin their evacuation process. A bus will be dispatched to the assigned assembly area(s) to be used as an evacuation shelter. If possible, building maintenance personnel will be posted at facility door(s) to allow emergency personnel to gain quick building access (and to direct them to source of problem/fire). Dispatch should direct coaches in route to the facility to the City of Dubuque Municipal Services Center on Kerper Blvd, Intermodal Center or JFK Circle Transfer, respectively. An evacuation announcement should be made in a steady, calm voice, instructing people to move quickly without rushing. The announcement should be made via PA system. If fire is present, activate fire alarms. The Plan Administrator is responsible for head counts and should take the Evacuation Personnel Checklist when exiting the building. If it is determined that people may still be in the facility, notify the on -scene Page 18 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations incident commander from the local emergency service agency and give them the last known location of the missing individual(s). Evacuees should stay grouped together and quiet; information will be shared whenever possible. Be aware that all personnel and visitors will be under some degree of emotional distress. Look for symptoms of stress, hyperventilation, anxiety attacks, confusion, depression, etc. Prior to an evacuation, all employees should familiarize themselves with the following to ensure their safety: 1. You must evacuate the building whenever the building alarm sounds and/or when you are told to do so by emergency service personnel, your supervisor, management, or authorized personnel. 2. Be aware of where the evacuation placards are posted in each work area. In the event that one exit becomes inaccessible, be aware of alternative exit routes. 3. Become familiar with the location of the fire alarm activation devices and how they are operated. 4. Become familiar where fire extinguishers are located. 5. Become familiar with the designated assembly place for your work area as well as those for the rest of the facility. In the event of an on -site emergency requiring the evacuation of your work site, it is your responsibility to proceed to the designated evacuation assembly area and, in the process: 1. Ensure that all telephone handsets are replaced back in their cradles. 2. Take along any personal belongings and valuables, such as jackets, coats, briefcases, cell phones, purses and backpacks (time and conditions permitting). 3. Check surroundings — including restrooms - to notify other persons in the area of the alarm. After checking a room, the employee should close the door to reduce the possible damage by heat, smoke and flame in the case of fire. 4. Ensure that disabled non -ambulatory persons are provided assistance during evacuations. It may be necessary to leave wheelchairs behind. In that event, two reasonably strong individuals should assist disabled person to assembly area. 5. It is possible that in a panicked state, employees may cross a busy street unaware of the imminent dangers of traffic. Assign responsible employees in strategic locations to warn evacuees of any dangers posed along the evacuation route. 6. Do not leave the evacuation assembly area and re-enter building or approach the emergency incident scene until instructed to do so. EVACUATION ROUTES & ASSEMBLY AREAS: Jule Operations & Training Center Primary Evacuation Route Page 19 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Office Personnel = East Employee Entrance Door Maintenance Personnel = West side of Garage Walk Thru Door Primary Assembly Area Office and Maintenance Personnel = Employee Parking Lot — West of JOTC Secondary Evacuation Route Office Personnel = South Entrance Door Maintenance Personnel = East side of Garage Walk Thru Door Secondary Assembly Area Front Office and Maintenance Personnel = East side of parking lot by bus entrance gate on Kerper Blvd. Intermodal Center Primary Evacuation Route Front Office Personnel = North Door from Office to Outside Public = North Public Entry/Exit Doors Primary Assembly Area Front Office Personnel and Public = North Corner of Surface Parking Lot on Elm & 11 th Streets Secondary Evacuation Route Front Office Personnel = South Door from Office to Outside Public = South Public Entry/Exit Doors Secondary Assembly Area Front Office Personnel and Public = South Corner of Landscaping Area — Elm & 9th Streets CPR/1ST AIDE TRAINING CPR and 1st Aide Training, as conducted by the American Red Cross and offered through the City of Dubuque, is made available to all City employees. Transit employees, especially Bus Operators, are encouraged to participate in the training as time, opportunity and personal interest allows. BLOODBORNE PATHOGENS — GOOD SAMARITAN We do not reasonably anticipate that our employees will come into contact with bloodborne pathogens as part of their normal job duties. • Employees have voluntary training in first aid. This is done so that they are able to render emergency treatment to themselves and their loved ones. This training also results in increased safety awareness as employees are taught injury prevention. Any employee who renders first aid treatment to another employee does so as a "Good Samaritan" and is not covered under OSHA's Bloodborne Pathogens Standard. • Those performing custodial duties are not exposed to bloodborne pathogens. They are instructed to wear utility gloves when cleaning restrooms. Waste containers for disposal of personal products such as sanitary napkins are lined and the custodian would never handle these products by hand. All employees are instructed to report any changes or possible exposures to their supervisor. If exposures do occur we will reevaluate our policy at that time. Page 20 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations SEVERE AND INCLEMENT WEATHER POLICY Internal Procedures: Bus Operators, Dispatchers, & Passengers SEVERE WEATHER — Blizzard, Thunderstorm Warning or High Wind Siren Employees using mobile, portable or base radios will be notified by the Dispatch Office when any of the above warnings are issued. Bus Operators are responsible for relaying severe weather conditions instructions to passengers as directed by dispatch. The following evacuation procedure should be followed by in route Bus Operators: 1. Contact base and identify yourself by your name and route, state your location and which designated shelter is closest to your current location. Base will establish a check -in time. If you are unsure of the nearest safe shelter, ask the dispatcher for instructions. 2. Immediately go out of service, and inform passengers of the situation stating that the bus is heading to an identified shelter and that they may seek shelter there also ("The transit system recommends they seek shelter."). Proceed to the shelter using as direct a route as is feasible and safe, without stopping to pick up or drop off (additional) passengers. 3. When you arrive at the designated shelter, use a cellphone or locate a telephone in order to re- establish contact with base. If a telephone is not available, visually monitor the weather as safety allows. When conditions appear stable, return to the bus and establish contact with the dispatcher using the 2-way radio. State your current location and ask for further guidance. 4. When the severe weather condition (emergency) has passed, dispatch will inform all routes that normal operations should resume. However, drivers should be aware of and watchful for a potential reoccurrence of the emergency situation. 5. After dispatch announces all clear, inform the passengers that the bus is returning to service, get them back on the bus and resume the route. SEVERE WEATHER — Tornado Watch Jule dispatch staff will notify all on -duty Jule bus operators via radio that a tornado watch is in effect. Bus operators will monitor the weather conditions for approaching severe weather or tornado. If such signs are noted they will IMMEDIATELY notify the base by radio. The base operator will relay this information to the E91 1 Dispatch Center. SEVERE WEATHER — Tornado Warning Jule dispatch staff will notify all on -duty Jule bus operators via radio that a tornado warning is in effect. Based on each vehicle location, transit dispatch staff will advise operators of possible shelter locations. All on -duty bus operators will proceed as follows: 1. If the bus is close to a public building (post office, fire station, hospital, or school building), the bus operator will ask passengers to leave the bus and take shelter in the building. Passengers that refuse to leave the bus will be allowed to stay on. 2. Bus operators will not move the bus or advise anyone to leave the bus during the actual storm when dangers are visibly apparent such as high water, strong winds, fallen wires or fallen trees. When the warning has been removed, transit dispatch staff will notify all on -duty Jule bus operators via cell phone that the storm has passed. Page 21 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations All on -duty bus operators will proceed as follows: 1. Evaluate the conditions near their location to determine whether dangers are visibly apparent such as high water, strong winds, fallen wires or fallen trees 2. Bus operators will not move the bus or advise anyone to leave the bus if dangers are visibly present. 3. If no dangers are apparent, the driver should complete his/her scheduled route, delivering all passengers. ON -ROUTE DESIGNATED SHELTERS Based on the Bus Operator's locations along the route, the following locations are safe shelters: JFK Circle -Based Routes = Kennedy Mall, Area Residential Care, Kohls, HyVee Delhi -Based Routes = Finley Hospital, Mercy Hospital, Wartburg Seminary, Clarke University Downtown -Based Routes = Department of Motor Vehicles, Intermodal Center, JOTC, Municipal Services Center (Kerper Blvd) SEVERE WEATHER — Jule Facility Shelter Assignments Severe weather such as tornadoes which require Jule personnel to take shelter should seek shelter in the following areas: JULE OPERATIONS & TRANING CENTER Operations Supervisor, office personnel, drivers and visitors = Men's or Women's Locker Room Maintenance and Mechanics = Men's Locker Room Department/division supervisors will issue an "all clear" to their employees based upon current weather information. Information regarding current severe weather may be obtained by monitoring a battery - operated AM/FM radio. INTERMODAL CENTER Director of Transportation Services, office personnel, drivers and visitors = Family Restroom External Communications Procedures INCLEMENT WEATHER — Winter Storms, Ice, and Snow For any weather -related change to service, communication with the public is essential. A post should be made to social media (Facebook and Twitter) using the HooteSuite platform and through the notify -me system to The Jule List and Press Release List. Be prepared to respond to additional questions and ride requests through facebook and twitter. During and following snow and ice storms, city staff will work to clear transfer areas within 24 hours. Requests for bus stop clearing can be submitted through the City's website (WebQA) or by calling The Jule dispatch phone number at 563-589-4196. These requests will be responded to and stops cleared within 48 hours of entry of the request in the WebQA system. Page 22 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations LEVEL 1 Alternate Routes and Service Delays Stay in touch with Public Works staff to get street conditions. Paratransit Continue service, but advise passengers to expect delays. Fixed -Route When weather conditions and forecast will not allow the Jule to operate its full fixed route level of service but still able to operate a reduced service with delays, the following alternate routes will take effect: • Green Jackson/Terrace Heights/Central and Pink Windsor/Terrace Heights/Central No service to Terrace Heights. Bus will stop at Casey's on Peru Rd. • Green Jackson/ Broadway/Central No service to Saunders St & Broadway St. Bus will travel on Central Ave. • Orange Clarke/Senior/W. Locust No service on Madison Hill or Clarke Dr. Bus will travel west on Locust St. • Grey Westbound Asbury No service to Sunset Park Circle Bus will continue on Kaufmann Ave to Bonson to Asbury to Sams Club. • Purple Mall/Walmart/Target No service to Wingate. Bus will travel on Sylvan Dr to Kennedy Mall. • Park & Ride If large employers are releasing early, adjust schedule accordingly. Sample post/notify-me for alternate routes: Effective Saturday 2/1/2014; All routes all day Due to deteriorating road conditions, The Jule will use alternate routes. Expect delays of up to minutes until conditions improve. The Jule will use the following alternate routes: INSERT RELEVANT ALTERNATE ROUTES Call 563-589-4196 for bus times or route deviations in your area. LEVEL 2 On -Call and Reduced Service Stay in touch with Public Works staff to get street conditions. Page 23 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Paratransit Continue service, but advise passengers to expect delays. When weather conditions and forecast will not allow the Jule to operate full service, contact passengers with non -medical appointments to reschedule (if possible). Fixed -Route If conditions are deteriorating or are expected to deteriorate to the extent that it is no longer safe to provide fixed -route service, reduce to on -call service until conditions improve. Sample post/notify-me for on -call service: Effective Saturday 2/1/2014; All routes all day Due to deteriorating road conditions, The Jule fixed -routes will not operate. On -Call service is available for those who need to travel. Call 563-589-4196 to request a ride. LEVEL 3 Service Cancellation Stay in touch with Public Works staff to get street conditions. If on -call service will not be safe, cancel both fixed -route service and all paratransit trips and provide as much advance notice as possible so passengers can prepare. Sample post/notify-me for service cancellation: Effective Saturday 2/1 /2018; All routes all day Jule Nightrider Routes will end at 11 pm Tonight DUBUQUE, Iowa — 1:30pm — According to the National Weather Service, heavy snowfall and strong winds will make travel difficult this evening into tomorrow. To ensure the safety of our passengers and staff, The Jule will end both fixed -route and minibus service early tonight, Friday November 20, 201 8. All Nightrider routes and minibus trips will end at 1 1 pm. The last pick-ups/drop-offs at stops along these routes are listed below: INSERT RELEVANT STOPS, ROUTES, AND TIMES The Jule's dispatch staff will be available until 1 1 pm to answer questions and help passengers plan their rides. For more information, call 563-589-4196. FIRE & FIRE SUPPRESSION The Plan Administrator appoints the trained fire extinguisher operators. Presently the following personnel are considered trained operators of fire extinguishers: Operations Supervisors All Maintenance Personnel All Bus Operators All Parking Technicians Page 24 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Qualified personnel will receive initial training and annual refresher training for fire extinguisher operations. Fire suppression with a fire extinguisher is to be attempted only in conjunction with a Fire Department notification (9-91 1) and only after occupant evacuation has begun. The facility will have annual inspections of fire extinguishers in the facility and on -board all buses. The Operations Supervisor will contract for this service with a qualified inspector. At present, Dubuque Fire is the contractor for this service. The facility will conduct annual reviews of existing standards of practice regarding storage and handling of potentially dangerous chemicals and materials (MSDS). This review is to include proper disposal of said chemicals, used grease rags, gasoline, etc. per Jule and City policy. There will continue to be effective enforcement of the Iowa Smoke -Free Air Act that prohibits all smoking within and on the premises of city - owned buildings, in city -owned vehicles, and at transit shelters and transfer areas. Fire evacuation route placards will be posted throughout the facility, and regular maintenance of fire/egress and safety lighting and equipment (e.g. fire extinguishers, sprinkler systems, etc.) will be performed. There will be annual reviews of the Standards of Practice with all employees — Bus Operators to ensure proper handling of fires on buses, maintenance and mechanical personnel regarding the proper handling of potentially hazard materials, etc. Fire drills for facility will be performed on an annual basis, and will include the timely and safe evacuation of facility, head counts of employees, etc. ON -BOARD VIOLENCE (PASSENGER TO DRIVER, PASSENGER TO PASSENGER) Engaging in fighting or violent behavior, making loud and raucous noise that causes unreasonable distress to an occupant or operator of the bus, or directing abusive epithets or making any threatening gesture that the person knows or reasonably should know is likely to provoke a violent reaction by another is prohibited. The driver or personnel supervising the operation of a bus shall advise a passenger who is violating any of the foregoing subsections that the prohibited conduct must cease and that the passenger may be required to leave the bus if the prohibited conduct does not stop. If the passenger does not comply with the driver's direction, the driver shall immediately contact the Dispatch Office who will contact a supervisor or the polic+ e depending on the severity of the incident. A supervisor or a police officer that finds that the passenger has engaged in prohibited conduct may remove the passenger from the bus. NONVIOLENT CRISIS INTERVENTION -DE-ESCALATING TECHNIQUES It is important to remain calm and reassuring when faced with an anxious passenger. Acknowledge the passenger's anxiety and, when possible, validate the reason for it. Be aware of their "comfort zone" i.e. personal space, and attempt to stay at least arms (and leg) length away. Be aware of your facial expressions as you are communicating and/or listening to their complaints. If seated behind the steering wheel, get up and clear of the driver's area so in the event of a physical assault you can get away. When faced with a defensive passenger speak in calm, rhythmic lowered tones. Be direct but not condescending. Your instructions to the passenger should be simple, clear, and reasonable. Diffuse the situation — do not get into a power struggle. TIPS TO REMEMBER: 1. As quickly as possible, communicate the situation to dispatch and include your location. 2. Listen to the person causing the disturbance is trying to tell you. Page 25 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 3. Beware of your non-verbal communication (e.g. facial expressions, body language). 4. Remain calm; don't over -react. 5. Don't be judgmental. 6. Don't take the situation personally. 7. Maintain eye contact. 8. Identify the other person's feelings; acknowledge and validate them. 9. Take deep breaths. 10. Try to keep some space between you and the passenger. 11. Keep in mind that there might have been a prior incident or some other precipitating factor, that the passenger might be ill (mentally and/or physically), on drugs or otherwise under the influence. 12. Mentally prepare for the worse case scenario — look around you and plan a course of action and an escape route. 13. Maintain control of yourself — your emotions and reactions, tone of voice, facial expressions and body language. In doing so, you will have greater success in retaining control of the situation and ultimately attaining a positive resolution to the crisis. VIOLENCE IN THE WORKPLACE (EMPLOYEE TO EMPLOYEE, INCLUDING HARASSMENT) City of Dubuque Administrative Policy 4.01 Nothing is more important to the City of Dubuque than the safety and security of its employees. Threats, threatening behavior or acts of violence against employees, customers, visitors, guests, or other persons by anyone on City of Dubuque property, which includes buildings, grounds, vehicles and equipment, or at a worksite that is not owned by the City, such as the Law Enforcement Center, will not be tolerated. Violations of this policy will lead to disciplinary action which may include dismissal, arrest, and prosecution. Any person who makes substantial threats, exhibits threatening behavior, or engaged in violent acts on City property shall be removed from the premises as quickly as safety permits, and shall remain off City premises pending the outcome of an investigation. The City will initiate an appropriate response. This response may include, but is not limited to, suspension and/or termination of any business relationship, reassignment of job duties, suspension or termination of employment, and/or criminal prosecution of the person or persons involved. No existing City policy, practice or procedure should be interpreted to prohibit decisions designed to prevent a threat from being carried out, a violent act from occurring or a life threatening situation from developing. An employee is responsible for notifying their supervisor and/or their Division Manager of any threats which the employee has witnessed, received, or has been told that another person has witnessed or received. Even without an actual threat, an employee should report any behavior the employee witnessed which the employee regards as threatening or violent, when the behavior is job related or might be carried out on a City controlled site, or is connected to City employment. An employee is responsible for making a report regardless of the relationship to the individual who initiated the threat or threatening behavior. If the employee's supervisor is not available, the employee should report the threat to their Division Manager, the Personnel Office or the Police Department. An employee who applies for or obtains a protective or restraining order which lists City locations as being protected areas, must provide to the employee's supervisor and the Personnel Office a copy of the petition and declarations used to seek the order, a copy of any temporary protective or restraining Page 26 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations order which is granted, and a copy of any protective or restraining order which is made permanent. The City understands the sensitivity of the information requested and has developed confidentiality procedures which recognize and respect the privacy of the reporting employee. Employees, with the exception of sworn Peace Officers, are prohibited from bringing deadly weapons, which include, but are not limited to, firearms, knives, and explosive devices, to the workplace, or from having such weapons in City vehicles, or in private vehicles if the vehicle is parked on City property or the employee if on City business. Any exceptions to this paragraph must be approved by the employee's Department Manager. An example of an exception would be carrying a pocket knife that is used as part of the employee's job. Employees are expected to conduct themselves according to training received, involve their supervisor during incidents of violence, and cooperate with follow-up investigation. Timely reporting is required, and it is fully expected that employees will offer recommendations to supervisors for creating a safe work environment. Employees are prohibited from using bodily force against another, except when issuing an appropriate level of force to defend themselves or another against a violent attack. The City will provide appropriate training and education to all employees with refresher training based upon incident reports, employees' recommendations, and/or observable inadequacies in practice. New hires and transfers will receive training upon assuming work duties. Management personnel will undergo additional training to enable them to recognize, analyze, and establish violence prevention controls. Managing a Potentially Violent Situation: Because no two violent situations are alike, a single, standard formula to deal with them does not exist. However, there are some normal procedures to follow in the two most common situations: A distraught, harassing or abusively angry person: City employees are expected to assist and interact with the general public and fellow employees in a courteous manner. If, for example, a person becomes angry, the employee should courteously attempt to calm the person down. If that does not work, the employee should involve his/her supervisor or call for assistance from another supervisor or Police. A person threatening bodily harm: If the employee determines that he/she or another person is threatened, that is, in danger of imminent bodily harm, the employee should attempt to leave the scene, if it can be done safely, and notify the police if necessary. If the supervisor is unaware of the situation, the employee should notify the supervisor as soon as it can be done safely. The supervisor will then determine if police should be notified. Reporting Incidents: An employee must complete the "Incident Report" (sample copy attached) and route it through the supervisor, with a copy going to the Personnel Office, within 24 hours of the occurrence of any violent act or threat of a violent act. For an act involving the threat of bodily injury, the supervisor is responsible in making sure the Personnel Office is contacted, as soon as it can be done safely. Any City employee having knowledge of a violent act or any threatening statement or behavior involving any other City employee (as victim or perpetrator) must report it. The employee will apprise his/her supervisor and together submit a report to the Personnel Office. Should the employee's supervisor be involved in the violent act, the employee may make the report to the Division Manager, Department Manager, or directly to the Personnel Office. Page 27 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations To the greatest extent possible anonymity will be maintained during the investigation. However, anonymity will be maintained at the discretion of those investigating and resolving the complaint only to the degree that it does not compromise the investigation. There is no right to or guarantee of anonymity. Any employee who acts in good faith by reporting real or implied violent behavior will not be subjected to any form of retaliation or harassment. Any retaliatory behavior resulting from a report of violence must be reported to the Personnel Office for investigation and appropriate action. HAZARD COMMUNICATION It is the goal of The Jule to protect its employees from hazards at the workplace. This Hazard Communication Policy applies to all work operations where Jule employees may be exposed to hazardous substances under normal working conditions or during an emergency situation. This program is designed in compliance with OSHA 29 CFR 1 910.1 200. SAFETY DATA SHEETS (SDS): Safety Data Sheets (SDS) are fact sheets for chemicals which pose a physical or health hazard in the workplace. SDSs provide specific information about the chemicals we use. The Operations Supervisor and Service Worker are responsible for obtaining the SDSs for the The Jule. Operations Supervisor will contact or designate another representative to contact the chemical manufacturer or vendor if additional information is need or to request a SDS. SDSs are stored in hardcopy in the Garage near the Service Worker office and electronically on the City of Dubuque T:\MSDS\Transit. SDS's for products not currently used or that have changed will be maintained in an inactive file for a minimum of thirty (30) years. LABELS AND OTHER FORMS OF WARNING: All Jule employees are required to inspect newly purchased materials for proper labeling prior to use. The manufacturer's label shall never be removed or covered. Labels must list at least the following; • Chemical identity, • appropriate hazard warnings, • and, the name and address of the manufacturer, importer or other responsible party. Jule employees are responsible for ensuring that all hazardous chemicals labeled in the workplace are properly labeled. Refer to the corresponding SDS as a source for label information. NOTE: If employees transfer chemicals from a labeled container to a portable container that is intended only for their IMMEDIATE use, no labels are required on the portable container. TRAINING: Employees working with or potentially "exposed" to hazardous chemicals will receive initial training and any necessary retraining on the Hazard Communication Standard and the safe use of those hazardous chemicals by The City of Dubuque Fire Department or other designated representative. Whenever a new hazard is introduced or an old hazard changes, additional training shall be provided. Operations Supervisor will verify that each affected employee has received and understood the required training through a written certification that contains the name of each employee trained, the date(s) of training, and that identifies the subject of the certification. FAILURE TO COMPLY WITH HAZARD COMMUNICATION POLICY: Page 28 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations An employee who does not comply with this program will be disciplined for noncompliance according to the City of Dubuque Personnel Manager's recommendation. ANNUAL REVIEW: It is the responsibility of the Director of Transit Operations and the Operations Supervisor or other designated representative to reassess the workplace chemical hazards as necessary, to identify and evaluate new chemicals, to review accident records, and reevaluate the suitability of previously selected PPE or safe work practices. This reassessment will occur at least annually. TEMPORARY WORKERS / CONTRACTORS To ensure that temporary employees or contractors have access to information on the hazardous chemicals used, it is the responsibility of Operations Supervisor to provide the following information. • Where SDSs are located. • The name and location of the hazardous chemicals to which their employees may be exposed and any appropriate protective measures required to minimize their exposure. • Explanation of the labeling system. Each contractor bringing chemicals on -site must provide the Operations Supervisor with the appropriate hazard information for these substances, including the SDSs, the labels used and the precautionary measures to be taken when exposed to these chemicals. ACCIDENT PREVENTION Perform on -going review(s) with all employees of the OSHA and City of Dubuque guidelines and practices that apply to them, and ensure said practices and procedures are known, followed and updated as needed. Monthly Safety Committee meetings are held to review all safety -related incidents and policies that relate to daily operations. BUILDING SECURITY Proper maintenance of keyed lock system currently in place. Reduce unauthorized access to interior of building by shutting outside doors (office/driver, storage and mechanic areas) when not in use, and requiring use of fob in order to gain access to building. Evening personnel i.e. Nightrider Crew will continue to receive training on the procedures to follow in the event of an emergency situation (e.g. severe weather, terrorist attack, fire, or earthquake). Policies regarding the securing of the facility and buses (e.g. keeping outside doors shut and/or locked, shutting off and taking the key from ignition of buses when unattended, etc.) will continue to be enforced. The Jule and City of Dubuque will continue to investigate and review how best to protect the facility and still maintain access with minimal difficulty to storage and mechanical areas during course of daily operations. LOSS OF POWER/POWER OUTAGE Radios: In the event of power failure that disrupts base radio contact with Bus Operators, battery backup in the dispatch office will provide power for approximately 2 hours. An off -site generator (W 3rd St) will power the radio tower. If driver radios lose power, drivers should use cell phones to contact base at 30 minute intervals. Page 29 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Phone Service: If phone service is lost, the analog phone should be plugged in and used for passenger calls. Analog Phone Location: NE corner of Jule Operations Center dispatch office (FT dispatch desk area) Analog Plug -In Location: NE corner of Jule Operations Center dispatch office Analog Phone Number: 563-589-4342 The following information should be sent out to the public using Notify -Me and social media. Date and Time A power outage is impacting the Jules phone service. If you are trying to reach the Jule for fixed route or mini -bus services, please call 563-589-4342. Your patience is greatly appreciated. THEFT, ROBBERY, LOSS OF PROPERTY Perform regular reviews of existing practices that ensure prevention or, at the very least, minimization of loss and potential injury in the event of theft/robbery. These practices include requiring keys for admittance to sensitive areas and delivery of locked fareboxes to bank for deposit. CIVIL DISTURBANCE OR DEMONSTRATION Most demonstrations (protests, strikes, etc.) are peaceful; therefore, you should attempt to conduct business as normally as possible without provoking or obstructing the demonstrator's activities. When a civil disturbance occurs that may jeopardize the safety and well-being of you and your passengers, immediately contact the Dispatch Office and request a supervisor. Supervisory or management staff will assess any disturbance to see if the involvement of local law enforcement agencies is warranted. In the interim, you should consider taking the following actions: 1. Remain calm — do not provoke further incident 2. Avoid the area to prevent injury, further disruptions, or possible arrest. Don't become part of the problem. 3. Only leave the building or your work area (e.g. bus) under the direction of law enforcement/emergency service personnel or a supervisor/manager. Depending upon the type of incident, employees may be directed to a safer area in the building or be advised to leave to area. 4. Don't speak or make gestures toward demonstrators. If the disturbance is occurring outside your bus and you are unable to move your bus, close the doors to the bus immediately. However, do not attempt to hold any passenger on the bus who wishes to leave, but for his or her own safety, encourage them to remain on the bus until the police arrive. BOMB THREAT What To Do 1. Cooperate with the caller; listen carefully 2. Note carefully all information the caller gives (see form, Attachment A. 3. Ask the location and description of the bomb, expected time of explosion, and why the bomb was planted. 4. Try to recall the exact time you received the call. Page 30 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 5. Note the caller's voice: male, female, with an accent, intoxicated, familiar? 6. Note background noises: traffic, construction, music, voices, etc. 7. Ask for caller's name and address. 8. Notify your supervisor 9. Call 9-91 1: Report the bomb threat, give your name and location 10. EVACUTE the building (see Evacuation Routes/p.6) SIGNAL FOR BOMB THREAT: "10-89" It is the responsibility of all Bus Operators to be fully aware of The Jule's "10-89" procedures. For the safety of everyone, all bomb threats must be investigated. The following procedures are to be followed when a bomb threat is received: 1. The dispatch/supervisor on duty will make an "All Call" for the entire fleet or those vehicles specifically known to be involved, and issue a "10-89." 2. After receiving a "10-89" message, all Bus Operators are to pull over and park their buses at the nearest, appropriate and safe location. Bus Operators should attempt to park their vehicles away from traffic and all government buildings, schools, hospitals, etc. 3. Calmly evacuate all passengers away from the bus. 4. Check the inside of the bus for any unusual items. Do not attempt to touch, remove or investigate these items if discovered. 5. Under no circumstances should a Bus Operator use the radio system when relaying information to dispatch. 6. Should a suspicious item(s) be found on the coach, the Bus Operator should not touch or investigate the item(s). The Bus Operator should contact the Dispatch Office. 7. Once dispatch is notified of a suspicious item, Bus Operator should keep passengers and themselves at a safe distance from the bus. 8. The Bus Operator should inform passengers of the situation, offer an apology, and inform them that once the situation is resolved bus service will return to normal. TERRORIST ATTACK Prevention: Continued review and enforcement of current preventative practices already in place i.e. outside access doors and specific interior doors locked and requiring keys for admittance to facility/room; the shutting down and locking of ignition of unattended buses regardless of location (e.g. downtown, or outside of storage facility); maintaining an increased level of awareness regarding unknown persons on the property and/or entering the facility; maintaining an increased level of vigilance regarding unusual Page 31 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations and/or unclaimed packages or objects left on the buses throughout the day and the proper handling of the same. Preparedness: Stay abreast of the most recent threats, perform regular reviews of all practices and policies with the understanding that adjustments will be made to them as necessary. Review policies and practices will all employees on regular basis in order to ensure that they are clearly understood and abided by. Provide updated policy information and/or changes as they occur. Provide employees an opportunity to identify and address potential gaps in policy. IMPROVISED EXPLOSIVE DEVICES (IED) OVERVIEW An IED can be made with many types of materials. It is a "homemade" device that is designed to cause death or injury by using explosives alone or in combination with toxic chemicals, biological toxins, or radiological material. IEDs can be produced in varying sizes, functioning methods, containers, and delivery methods. IEDs can utilize commercial or military explosives, homemade explosives, or military ordnance and ordnance components. They are unique in nature because the IED builder has had to improvise with the material at hand. Designed to defeat a specific target or type of target, they generally become more difficult to detect and protect against as they become more sophisticated. IEDs fall into three types of categories: Package Type Vehicle -Borne (VBIED) Suicide Bomb Though they can vary widely in shape and form, IEDs share a common set of components and consist of the following: An initiation system or fuse; Explosive fill; A detonator; A power supply for the detonator; and A container. Prevention Drivers, dispatchers, management staff and service workers are responsible for maintaining a clean environment where materials and items are stored appropriately. Purpose for performing regular housekeeping sweeps of the bus: Enhances security and safety by making it easier to identify unusual objects or out of place items. Makes it more difficult for a terrorist to hide a weapon of mass destruction. Aids first responders in searching for suspected devices. Enables quicker rescue efforts. Facilitates recovery from an incident. ASSET MANAGEMENT: VEHICLE AND FACILITY MAINTENANCE Page 32 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Passage of Moving Ahead for Progress in the 21 st Century (MAP-21), the Federal Transportation Authorization Act, established the requirement for local transit agencies to develop a Transit Asset Management Plan and manage all assets as part of an overall system. Resources to replace equipment and facilities are limited and these assets should be maintained to ensure the longest useful life of each. However, it is recognized that assets do have a useful life and as the assets approach their useful life, maintenance costs often increase significantly. Agencies must be able to monitor their assets as a system and recognize when it is appropriate to replace individual assets to enhance overall system performance. This Transit Asset Management Plan is intended to fulfill the requirements of MAP-21 and the FTA. The plan provides direction for The Jule to protect and preserve capital assets for maximum utilization. Performance Targets and Measures FTA will measure performance within each asset category (Rolling Stock, Equipment, and Facilities). The performance measure is a characterization of the percentage of the number assets that are not in a state of good repair. All of the performance measures have been designed with the goal of having low values. As the age or condition of assets deteriorates, the value of the performance measure will increase. TAM performance measures and targets were implemented to minimize the reporting burden for agencies while providing a framework to define future state of good repair goals and track progress toward reaching them. The Jule has adopted the FTA useful life standards to determine performance measures and useful life benchmarks. While ideal funding conditions would result in a performance measure of 0%, this is not a reasonable expectation. The Jule's goal is for less than 35% of the fleet to have exceeded its useful life benchmark. Asset Portfolio: Equipment, Vehicles, Rolling Stock Listing of capital assets that transit owns, operates, or manages that support the delivery of public transportation services. r Asset Category/Class Total Number Revenue Vehicles MB - Mini -bus MD - Medium Duty 34 13 12 HD - Heavy Duty 4 HD - Replacement for MD OOS Equipment Non Revenue/Service Automobile Floor Sweeper Riding Lawnmower Facilities 5 5 3 Avg Age 8.3 6.8 7.0 7.0 16.0 3.6 5.0 1 0.0 Avg Mileage Avg Value I 163,285 I $156,923.88 134,868 $99,378.82 179,235 $176,977.00 186,832 $421,940.82 180,055 18,971 18,971 N/A $46,400.00 $24,498.80 $31,048.67 $13,205.00 1 3.0 N/A Intermodal Facility Operations & Training Center 2 1 1 1.5 3.0 N/A N/A 0.0 $16,143.00 $11,000,000.00 $15,700,000.00 N/A $6,300,000.00 Page 33 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations The asset portfolio above reveals The Jule has five pieces non -revenue equipment, this includes two driver shuttle vehicles, one service truck, one riding lawnmower and a garage floor sweeper with an average age of three years and average value of $24,498. We have two facilities, The Intermodal and the Jule Operations and Training Center with an average age of one year and average value of $1 1,000,000. Rolling Stock includes all revenue producing vehicles. We currently have thirty-four buses with an average age of eight years and average replacement value of $156,923.88. Condition Assessment In conjunction with asset portfolio, condition assessment is the process of inspecting an asset to collect data that is used to measure its condition and performance. The condition assessment process involves regular inspections that evaluate an asset's visual and physical conditions as well as performance characteristics and the risks/impacts of failures. Avg Asset Category/Class Count Avg Avg TERM Age Mileage Condition Avg Value ULB At or Past ULB Revenue Vehicles 34 8.3 6.8 163,285 134,868 N/A N/A $156,923.88 88.24% MB - Mini -bus 13 $99,378.82 4 100.00% 1 MD - Medium Duty 12 7.0 179,235 N/A $176,977.00 7 100.00% HD - Heavy Duty 4 7.0 186,832 N/A $421,940.82 12 0.00% HD - Replacement for MD OOS 5 16.0 180,055 N/A $46,400.00 12 100.00% Equipment 5 3.6 11,383 N/A $24,498.80 0.00% Non Revenue/Service Automobile 3 5.0 18,971 N/A $31,048.67 7 0.00% Floor Sweeper 1 0.0 0 N/A $13,205.00 10 0.00% Riding Lawnmower 1 3.0 0 N/A $16,143.00 10 0.00% Facilities 2 1.5 N/A 5.0 $11,000,000.00 N/A Intermodal Facility 1 3.0 N/A 5.0 $15,700,000.00 N/A N/A Operations & Training Center 1 0.0 N/A 5.0 $6,300,000.00 N/A N/A The current vehicle and equipment inventory is included in Attachment J. The vehicle fleet includes 34 buses. All 34 buses are diesel fueled. Many of the vehicles are older and in moderate or poor condition. This has a direct impact on fleet maintenance costs. As these vehicles are replaced, maintenance costs should be reduced. Vehicle: Preventative Maintenance Workplans and Schedules The Jule maintenance department (mechanics and service workers) will ensure that all vehicles and equipment are maintained in the best possible mechanical condition meeting FTA requirements. Vehicles will be clean and comfortable for riders, and all steps will be taken to ensure that a sufficient number of vehicles will be available to meet service requirements. In controlling maintenance department activity, the Director of Transit Operations will ensure that the department's activities help to support effective and efficient delivery of transit service while seeking to maximize: vehicle reliability - reduced number of road calls and vehicle down time vehicle operating efficiency - reduced use of fuel, oil and parts per mile labor productivity - increased maintenance quality and reduced repair call-backs Page 34 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations All of the above objectives are to be achieved with a proper balance of vehicle care and cost savings. The primary goal of the Preventative Maintenance program is to ensure the safety and longevity of the vehicles. In this light Preventative Maintenance is scheduled at pre -determined increments. It is initiated at the 4,000 mile marker, and completed every 5,000 miles thereafter. The preventative maintenance inspection is performed by the mechanics. Each preventative maintenance inspection includes an engine wash, and may include adding grease or oil, an oil change with new oil filter, transmission fluid change, air filter and differential, depending on the mileage marker for each particular service inspection. The mechanic uses an inspection checklist and examines each vehicle thoroughly, noting needed repairs on the appropriate areas of the checklist. The mechanic will also perform minor repairs throughout the course of the inspection, and note the completed repair on the checklist. If a repair is urgent the vehicle may be parked until the service can be performed. If a repair is not urgent, but cannot be performed immediately, an operator's Bus Defect Report will be completed and filed with the City of Dubuque Public Works Garage. A preventative maintenance inspection takes approximately an entire day to service one bus. Each light duty bus in the fleet is inspected at every 5,000 mile increment. Medium and heavy duty buses are inspected at every 6,000 mile increment. The mechanics estimate the average miles traveled by a The Jule bus to be 100 miles per day. The operating records that monitor daily service agree with that mileage. The Jule operates a total of twenty-nine (29) buses in its active fleet: Fixed Route — 9 HD Gilligs, 7 MD El Dorados; 1 LD Sprinter and 12 LD GMC's. The Jule anticipates operating 733,1 28 miles in FY 201 9 with an average mileage of 25,000 miles per bus with expected preventative maintenance occurring 4-5 times per year on each vehicle. Preventative maintenance mileage milestones are logged and checked against daily mileage reports compiled by the Dispatch office. The Field Supervisor completes a quarterly review of each camera system including camera lens, speakers, and the initialization and indexing features. Eight hard drives are replaced quarterly and the pulled hard drives are on hold for three months before cleared in case the video needs to be retrieved. The Field Supervisor troubleshoots any issues with the camera provider and as needed, City IT staff are brought in for assistance. Camera/audio equipment can also be reported on a defect card and the Service Worker, will bring the issue to management attention. Vehicle: Repair The other form of maintenance performed on The Jule's buses is repair, and this is to return the vehicle to full service in a safe and reliable condition, and as quickly as is feasible. Drivers complete pre- and post - trip inspections of vehicles. Any maintenance or repair items are noted and the vehicle is scheduled for service as appropriate, depending on the nature of the service item which has been identified. Service workers and Bus Operators alike report bus defects on a daily basis. The bus defects are noted on a Bus Defect Report Card and filed at the City of Dubuque Public Works Garage. Depending on the time of day and the nature or extent of the repair, minor repairs may be performed by the service worker. The following are examples of minor repairs commonly performed by the service worker: bulb replacement and tire replacements. Bus Defect Cards are collected at the City of Dubuque Public Works Garage and reviewed daily. Urgent or otherwise serious defects are given directly to the Equipment Maintenance Supervisor to be acted on immediately; repair orders are prioritized. Vehicles that are unsafe to operate until repair can be Page 35 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations completed are taken out of service until repaired. The repair work is scheduled so that an adequate number of buses are available for daily operations. This service -first practice means that major repairs will be postponed at times in favor of lesser repairs. The less serious repairs can be performed quickly so that a vehicle can be returned to active status as soon as possible. Major repairs, such as engine replacement, are only performed when time away from daily maintenance permits. All mechanical and service work performed is documented and the time spent on the repair is recorded on the back of each Bus Defect Report and entered into Collective Fleet, a fleet maintenance management software. The information on the Report includes the mileage at the time of each major repair. Buses are fueled, quick -washed and swept when they finish their routes at the end of the business day. The service worker performs a detailed cleaning inside and out of the bus, and a visual inventory of the bus is taken at that time. Quality Control Quality control is accomplished through Original Equipment Manufacturer (OEM) suggestion, report data, and The Jule and Public Works Management input. No time frames are established for work performance while a vehicle component is worked on. It is The Jule's policy that all jobs are completed in a reasonable amount of time based on problems found, and the amount of work required to complete the task that will enable the vehicle to be placed into revenue service in a safe and reliable condition, without the necessity of further repairs prior to the next scheduled maintenance. It is also The Jule's policy that the vehicle is inspected each and every time it is bought into the shop for any reason as time permits. All items in need of attention/repair are evaluated and either repaired or noted and scheduled for repair at a future date. The public works dept. uses mechanics with extensive training both from classes and years of hands-on experience. All vehicle engine and transmission overhauls are sublet out to private sector shops which are qualified for the specific type of repair. The public works mechanics do all AC work, electrical work, brake jobs, wheelchair and or ramp repairs, and both scheduled and unscheduled work. Warranty Recovery When The Jule receives a new vehicle, a separate file is set up to record and store any and all warranty work performed on the vehicle during the warranty period. It is The Jule's goal to maximize the use of the warranty on each vehicle as stated by the OEM. If a local warranty outlet in Dubuque is available, an appointment is made with the outlet to have the work done and a copy of the work order is obtained and filed in the Warranty Folder for the vehicle. If the public works dept. performs warranty work, the Public Works Maintenance Supervisor contacts the OEM for reimbursement for parts and labor. The Public Works Maintenance Supervisor actively pursues the use of vehicle warranties to see that they are used to the fullest extent possible. Management Approach: Investment Prioritization The City of Dubuque's Transportation Service Management are responsible for prioritizing capital investment. Vehicles are scheduled for replacement using a cost analysis that considers the useful life of the vehicle, actual mileage, vehicle condition assessment, and repair costs. The cost analysis considers the projected cost over the remaining expected life of the asset including maintenance, repair, rebuild, and operating cost. The decision support tools listed below assist management in completing the replacement schedule which has been established for vehicles is included with the vehicle inventory in Attachment J. Page 36 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Decision Support Tools • Collective Fleet: Software program that tracks preventative maintenance, mileages, fuel useage, parts and labor • Vehicle Condition Assessment: The process of inspecting an asset to collect data that is used to score its condition and performance. The condition assessment process involves regular inspections that evaluate an asset's visual and physical conditions as well as performance characteristics and the risks/impacts of failures. The scoring system is used to individually rate the condition of each bus on an annual basis including body, interior, engine, drive train, electrical, suspension, AC/heating, structure and safety condition and is rated on a scale of 0-10 with 10 being the best condition. • Replacement Formula/Useful Life Calculation: Statewide formula used to determine eligibility for replacement based on age and mileage of each vehicle. Asset Portfolio: Facility The Jule has two facilities, The Intermodal Transfer Facility and The Jule Operations and Training Center (JOTC). Both of the facilities are new with the Intermodal facility built in 2015 and the JOTC built in 2018. Facilities: Preventative Maintenance Workplans and Schedules Primary goal of preventative maintenance is the degree that is practical to keep the facility equipment operating effectively, efficiently and safely. All equipment located in the facility shall be maintained to the highest degree that is practical, with inspection and/or testing on an annual, bi-annual and/or quarterly basis (depending on the piece of equipment). This list of facility equipment to be properly maintained is included in Attachment G. Bus shelters are cleaned and inspected one time per month as included in Attachment H. Page 37 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT A: BOMB THREAT FORM QUESTIONS TO ASK CALLER - 1. When is the bomb going to explode? 2. Where is the bomb right now? 3. What does the bomb look like? 4. What kind of bomb is it? 5. What will cause the bomb to explode? 6. Did you place the bomb? 7. Why? 8. What is your address? 9. What is your name? EXACT WORDING OF THREAT — Gender of Caller: Male Female Length of call: Common phrases caller used: Caller ID #: Time: Date: / / Your Phone #: CALLER'S VOICE CALM NASAL ANGRY STUTTER EXCITED LISP SLOW -RASPY RAPID DEEP SOFT HIGH LOUD RAGGED LAUGHTER NORMAL CRYING MUMBLED AMUSED DISGUSED SLURRED ACCENT WHISPERED FAMILIAR CRACKING If voice was familiar, who did it sound like? DEEP Heavy Traffic Light Traffic Animal Noises Voices Music Motor Static Machinery Other CALL: DIRECTOR OF TRANSIT, EXT. 4341 TRANSIT MANAGER, EXT. 4198 SUPERVISORS, EXT. 4197 DATE OF CALL: / / NAME: POSITION: PHONE # WHERE CALL WAS RECEIVED: Page 38 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT B1: ACCIDENT/INCIDENT REPORT FORM Transportation Services INCIDENT / ACCIDENT REPORT Employee: Complete ASAP after incident and provide to your supervisor. Employee Name: Job Title: ❑ FT ❑ PT Vehicle/Equipment Number: Date & Time of Incident: at AM / PM Location (be specific, include ramp location if applicable): Road Surface (check one) ❑ Dry ❑ Snowy ❑ Wet ❑ Icy ❑ Muddy ❑ Oily (e.g. from spill) Weather (check one) ❑ Clear ❑ Snowing ❑ Raining ❑ Fog ❑ Other Describe events of incident (what you were doing, how did it happened, what was the cause of incident, etc.): List any witnesses (name, phone #): The following persons were injured as a result of this incident: Employee Public Name: Name: Injury: Injury: Estimated Cost: Estimated Cost: Extent of injury (sprained ankle, cut on hand): Medical Attention (check one): ❑ Emergency Room Treatment ❑ First Aid ❑ Tri-State Occ. Health ❑ Refused Treatment Property Damage: City (Public) Property and/or Vehicle Private Property and/or Vehicle Vehicle Number: License Plate Number: Estimated Cost: Estimated Cost: Description of damaged/lost item/parts: (e.g. bumper, window, radio - lost, stolen or vandalized): List safety equipment in use at time of incident: What measures do you suggest to prevent further incidents of this type: Employee's signature: Time: Date: Supervisor's signature: Time: Date: / / Page 39 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT B2: ACCIDENT/INCIDENT REPORT FORM VEHICLE ACCIDENT INFORMATION Other Driver's Info Driver Address Owner of Vehicle Owner's Address Insurance Company Policy No. Insurance Agent Phone (Home or work): Make & year of car License plate #, Year & State Driver Injured? If yes, taken to (hospital/clinic) Please estimate the speed of: Your vehicle mph Other vehicle mph Draw a sketch. Show names of roads and highways, points of compass, and directions of vehicles involved. Identify your car as #1 and other vehicles as #2, #3, etc. #1 y Your vehicle (solid arrow for direction) #2 i> Other vehicle (outline arrow for direction) #3 > Other vehicle (assign numbers to others) Traffic Control (check one or more) ❑ Stop sign ❑Officer or flagman ❑ Stop light ❑No traffic control present ❑ Other Posted speed limit mph Ticket Given To ❑ You ❑ Other Driver Page 40 of 53 COMMENTS: -08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT Cl: FLOOR PLAN SHUT-OFF VALVES, SWITCHES & EVACUATION DOORS Intermodal Facility, 950 Elm St., Dubuque, IA 52001 2nd Floor Rm 202 IT Rm Ka • • 1 ar Pm a02 L rv13 n3fsr ;anfsrsn:s P.m Br s3k Rm 0 North Lobby Main Office A a 33 PLIBL IC Sr 21 South Lobby EIsv3tnr Fire Extinguisher Fire Alarm Pull Sprinkler Shut Off Water Shut Off Electrical Main Shut Off . Boiler Shut Off . HVAC Shut Off `,1 HVAC Shut Off (S) �J Emergency System Power Supply SAFETY EQUIPMENT, SHUTOFF AND ESCAPE ROUTE LOCATIONS Sanitary Lift Station Alarm Emergency Route Exit Natural Gas Shut Off Page 41 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT C2: FLOOR PLAN SHUT-OFF VALVES, SWITCHES & EVACUATION DOORS Jule Operations and Training Center, 949 Kerper Blvd., Dubuque, IA 52001 Fire Extinguisher Hazardous Chemical Storage MSDS Info Center Eyewash Station First Aid/Oxygen Station Electrical Main Switch Sprinkler Shutoff Water Shutoff Gas Shutoff C Boiler Shutoff Air Compressor Shutoff 1 1 Emergency Route Exterior Doors Electrical Room Page 42 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT C3: FLOOR PLAN SHUT-OFF VALVES, SWITCHES & EVACUATION DOORS Jule Operations and Training Center, 949 Kerper Blvd., Dubuque, IA 52001 Fire Extinguisher Hazardous Chemical Storage MSDS Info Center Eyewash Station First Aid/Oxygen Station Electrical Main Switch Sprinkler Shutoff Water Shutoff A Gas Shutoff L Boiler Shutoff Air Compressor Shutoff Emergency Route Exterior Doors Electrical Room Page 43 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT D: COMMUNICATION AND EMERGENCY CODE LIST 10-4 Acknowledgement (OK) 10-6 Busy -- stand by unless urgent 10-7 Out of service 10-9 Repeat 10-10 Fight in progress 10-13 Weather -- road report 10-20 Location 10-21 Call ... by telephone 10-22 Disregard 10-32 Man with gun 10-33 Emergency 10-36 Correct time 10-37 Vehicle parked in a bus stop 10-41 Start of shift 10-42 End of shift 10-50 Accident (fatal, personal injury, property damage) 10-53 Road blocked at ... 10-70 Fire 10-89 Bomb threat 10-96 Emotional disturbed person Page 44 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT E: TRAINING SCHEDULE Location Topic Speaker January JOTC Route Updates and Driver of the Year Awards, SMITH Reminders, Quarterly Compliment Prizes Director, Ops Supervisor, Field Supervisor, Training Specialist March JOTC Radio Communication Ops Supervisor, Field Supervisor, Training Specialist May JOTC SMITH, Sexual Harassment Quarterly Compliment Prizes Director, Ops Supervisor, Field Supervisor, Training Specialist June JOTC Mobility Device Securement Training Ops Supervisor, Field Supervisor, Training Specialist July JOTC Blood Bourne Pathogens, Fire Extinguisher Training, Hazardous Materials Training Director, Ops Supervisor, Field Supervisor, Training Specialist., Fire Dept Staff August JOTC School Reminders, ID Process, De- escalation (when to call the police), Safety/Security Plan Director, Ops Supervisor, Field Supervisor, Training Specialist, Police Dept. Staff November JOTC SMITH Winter Driving, Accident/Incident Reports/Defect Cards, Quarterly Compliment Prizes Public Health Staff, Director, Ops Supervisor, Field Supervisor, Training Specialist Page 45 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT F: PROTECTIVE EQUIPMENT HAZARD ASSESSMENT Job, Task or Job Title Being Reviewed: Bus Operator EYE HAZARDS: Tasks that can cause eye injury include working with chemicals, chipping, sanding, and wood working grinding, welding, metal Check the appropriate box for each hazard Description of hazard(s): PPE Required Chemical Exposure Yes No Heat/Cold Yes No Dust/Flying Debris Yes No Impact Yes No Light/Radiation (i.e. Welding) Yes No HEAD HAZARDS: Tasks that can cause head injury include: working below other workers who are that could fall. Working on energized electrical equipment or working in using tools or materials trenches Check the appropriate box for each hazard Description of hazard(s): PPE Required Impact Yes No Electrical Shock Yes No FOOT HAZARDS: Tasks that can cause foot injury include, exposure to chemicals, welding, cutting, electrical work, spray finishing or other work with flammables. material handling, construction, Check the appropriate box for each hazard Description of hazard(s): PPE Required Chemical Exposure Yes No Heat/Cold Yes No Impact/Compression Yes No Slip/Trips Yes No Puncture Yes No Slippery/Wet Surfaces Yes No Flammable Atmosphere Yes No Electrical Yes No NOISE HAZARDS: May be exposed to a noise hazard when grinding, sanding, cutting, using working around generators, or using gas powered equipment. Additional pneumatic equipment, training is required. Check the appropriate box for each hazard Description of hazard(s): PPE Required Noise hazard Yes No HAND HAZARDS: Can be caused by work with chemicals, exposure to abrasion, puncture, or cut hazards, Bloodborne Pathogens - Additional Training is required vibration, hot or cold objects. Check the appropriate box for each hazard Description of hazard(s): PPE Required Chemical Exposure Yes No Heat/Cold Yes No Cuts/Abrasion Yes No Puncture Yes No Page 46 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Electrical Shock Yes No Bloodborne Pathogens Yes No BODY/TORSO HAZARDS: Tasks that can cause injury include working with chemicals, cutting, chipping, electrical arc. sanding, grinding, welding, chainsaws and Check the appropriate box for each hazard Description of hazard(s): PPE Required Chemical Exposure Yes No Heat/Cold Yes No Cuts/Abrasion Yes No Puncture/Impact Yes No Electrical Arc Yes No FALL HAZARDS: Performing work on a surface with an unprotected edge or on scaffolds. May also be elevated platforms, tree trimming or performing work on poles or roofs. required when using manlifts, Additional training is required. Check the appropriate box for each hazard Description of hazard(s): PPE Required Fall hazard Yes No RESPIRATORY HAZARDS: When using certain chemicals, welding, cutting, brazing or other particulate hazards. Additional training is required. Check the appropriate box for each hazard Description of hazard(s): PPE Required Chemical exposure Yes No Dust Yes No Welding/Cutting Yes No I certify that the above hazard assessment was performed (4/.,(d-e<Sdil Certification Signature: Date: 5-6-2014 Date: 6-25-2015 Date: 11-15-2016 Date: 1-27-2017 Date 7/26-2018 Page 47 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT G: FACILITY: PREVENTATIVE MAINTENANCE & KEY CONTACTS Annually Location Inspected by Hoist equipment for buses MSC Vehicle Maintenance Supervisor Fueling system MSC Vehicle Maintenance Supervisor Sprinkler system and Backflow check JOTC Intermodal Midwest Alarm Service Alarm system Fire Alarm System JOTC Intermodal Midwest Alarm Service JOTC Elevator Preventative Maintenance Intermodal Kone Elevator Inspection Permit Intermodal Iowa Workforce Development - Division of Labor Contact: James Baedke james.baedke@iwd.iowa.gov Fire Extinguishers Fire Alarm Lights JOTC Intermodal Dubuque Fire Equipment Fire Code Inspection JOTC Intermodal Dubuque Fire Department Contact: Fire Marshall Bi-annually HVAC System for offices and garage JOTC Intermodal Service Worker Laborer Monthly or as needed Pest Control JOTC Intermodal Orkin & Service Worker Laborer Yard Care Equipment JOTC Intermodal Service Worker/Laborer Exterior landscaping and parking area JOTC Intermodal Service Worker/Laborer Weekly Floor drains in storage area JOTC Service Worker/Laborer Garage door systems JOTC Service Worker/Laborer Oil and fluid storage, hoses and reels MSC Vehicle Maintenance Supervisor Air Compressors and hoses JOTC Service Worker 1 st Aide/Eye Wash Station JOTC Field Supervisor Lighting throughout storage area and offices JOTC Intermodal Service Worker/Laborer Tire equipment JOTC Service Worker Various power and hand tools JOTC Intermodal Service Worker/Laborer Fuel Pumps and Hoses MSC Vehicle Maintenance Supervisor Daily Parking Areas JOTC IntermodaI Service Worker/Laborer Vehicle Washing Stations and Equipment JOTC Service Worker Parking Areas JOTC Intermodal Service Worker/Laborer Page 48 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT H: FACILITY: BUS SHELTERS CLEANING SCHEDULE Windsor Ave & Padre Pio Dr 1st Saturday Elm St @ Eagle Country Market 1st Saturday Jackson St & E 24th St 1st Saturday Main St & W 15th St 1st Saturday Locust St & W 6th St 2nd Saturday Iowa St @ Parking Ramp (1) 2nd Saturday St. Mary's Apartments 2nd Saturday Goodwill 2nd Saturday Chavenelle Rd @ Nordstrom 3rd Saturday Allison-Hederson Mid -Town Transfer 3rd Saturday Clarke Drive in front of Kehl Center 3rd Saturday Page 49 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT I: PREVENTATIVE MAINTENANCE INSPECTION Lifts, ramps, kneelers, PA system, annunciator, and on -board security system (camera/audio system) are included in the preventative maintenance inspection. PM Inspection Checklist Work Type Vehicle Detail L1 Bus Number: L2 Wheelchair Hours: L3 Wheelchair Miles: L4 Torque Fluid Change Diff Change Grease Job Oil Change Engine Inspection Check oil Change oil Check air filter restriction with gauge Check torque fluid Change torque fluid Check all hoses & flexible lines Change fuel filters Check front heater hoses Check engine block & accessories for oil & water leaks Service air dryer Check water Check shutter operation Oil shutter air cylinder Check fan hub and blades Tighten hose clamps Check air compressor Strainer Change water filter Check air manifold Check air box drains Check fan seal Body Inspection Check for Interior Body Damage Check Hinge Pins Check latches Check Lights Clean Condensor Passenger Seats Windshield Wiper Blades Check Horn Front & Rear Steps Check Batteries Check Condensor & Evaporator for bent or damaged fins Check Hand Rails Check Blow Air Tanks Check Fire Extinguisher Oil Door Motor Linkage Clean Heater Air Filters Check Brake & Accelerator Pedal Level Check Emergency Door or Roof Hatch Check Auxiliary Water Pump Check interlock Check shifting Drain Heater Regulator Check for broken windows Grease Slide Check Freon Level Check all dash controls & switches Lug Nuts Cables & Door Clean Evaporator Belt Inflate Tires Check Driver Seat Check Main Blowers (2- speed) Check Heater Radiator Hoses Floor Check for Exterior Body Damage Check Front Heater Valve Check Ceiling Panels Check for slow air build-up & cut-out air pressure Check AC Grease Door Track Tighten or Replace loose or hissing interior trim & seat screws Check Compressor Oil Level Check Operation of Doors Grease all fittings ADA Features Check Lift/Ramp Oper. & Cond. Check Securement Belts for Cond. & Quantity Check Folding Seat Operation Page 50 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Check PA Check Next Stop Lamp Check Stripes & Chime Running Gear & Underside Grease All Fittings Change Diff. Clean Vents Check Underside for Defects Check & Adjust Foot Brakes Check Handbrake & Oil Linkage Check Operation of Parking Brake Check King Pins Drag Link Tie Rod Ends Steering Shaft Page 51 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ATTACHMENT J: VEHICLE PORTFOLIO Page 52 of 53 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Current Fleet Vehicle # Year Make Vehicle Type ADA Features VIN Jule Operations Center 2605 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1 GB6G5BL3B1143634 Jule Operations Center 2603 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1GB6G5BL3B1143052 Jule Operations Center 2608 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1GB6G5BL6B1144650 Jule Operations Center 2606 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1 GB6G5BL1 B1143289 Jule Operations Center 2607 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1 GB6G5BL0B1143817 Jule Operations Center 2611 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1GB6G5BL3B1143794 Jule Operations Center 2613 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1GB6G5BL8B1150644 Jule Operations Center 2609 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1GB6G5BL6B1144132 Jule Operations Center 2610 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1GB6G5BL3B1142953 Jule Operations Center 2612 2011 GMC-176" LD Glaval Titan II Light Duty Rear Lift 1GB6G5BL4B1143366 Jule Operations Center 2658 2011 ElDorado - Aero Elite Navistar 320 Medium Duty Front Lift 5WEASSAL2CJ554066 Jule Operations Center 2654 2011 ElDorado - Aero Elite Navistar 320 Medium Duty Front Lift 5WEASAAL5CJ554059 Jule Operations Center 2661 2011 ElDorado -Aero Elite Navistar 320 Medium Duty Front Lift 5WEASSALOCJ554065 Jule Operations Center 2657 2011 ElDorado - Aero Elite Navistar 320 Medium Duty Front Lift 5WEASSAL7CJ554063 Jule Operations Center 2660 2011 ElDorado - Aero Elite Navistar 320 Medium Duty Front Lift 5WEASAAL9CJ554064 Jule Operations Center 2650 2011 ElDorado -Aero Elite Navistar 320 Medium Duty Front Lift SWEASAAL3CJ554061 Jule Operations Center 2655 2011 ElDorado -Aero Elite Navistar 320 Medium Duty Front Lift 5WEASAAL6CJ554068 Jule Operations Center 2659 2011 ElDorado - Aero Elite Navistar 320 Medium Duty Front Lift 5WEASAAL1 CJ554060 Jule Operations Center 2651 2011 ElDorado - Aero Elite Navistar 320 Medium Duty Front Lift SWEASAAL4CJ554067 Jule Operations Center 2656 2011 ElDorado - Aero Elite Navistar 320 Medium Duty Front Lift 5WEASAALI CJ554057 Jule Operations Center 2653 2011 ElDorado -Aero Elite Navistar320 Medium Duty Front Lift 5WEASAAL5CJ554062 Jule Operations Center 2652 2011 ElDorado -Aero Elite Navistar320 Medium Duty Front Lift 5WEASAAL3CJ554061 Jule Operations Center 2683 2011 Gillig - 35ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGB2718B1179463 Jule Operations Center 2681 2011 Gillig - 35ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGB2716B1179461 Jule Operations Center 2680 2011 Gillig - 35ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGB2714B1179460 Jule Operations Center 2682 2011 Gilliq - 35ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGB2718B1179462 Jule Operations Center 2690 2002 Gilliq - 30ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGB221821072239 Jule Operations Center 2691 2002 Gillig - 30ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGB221421072240 Jule Operations Center 2692 2002 Gillig - 30ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGE221321090493 Jule Operations Center 2693 2002 Gillig - 30ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGE221 121090492 Jule Operations Center 2694 2002 Gillig - 30ft Heavy Duty Low Floor Heavy Duty Low Floor Ramp 15GGE221521090494 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Leisure Services Department Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Leisure Services Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The Leisure Services Department COOP planning authority is vested with the City Manager and Leisure Services Department Manager. Leisure Services COOP Page 1 Updated 4-13-20 Section I. Lines of Succession / Delegations of Authority Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Key Positions & Lines of Succession Position Successor 1 Successor 2 Department Manager Ware Park Division Manager Fehsal Recreation Division Manager Kroger Recreation Division Manager Kroeger Park Division Manager Fehsal Recreation Supervisor Elskamp Park Division Manager Fehsal Recreation Division Manager Kroger Foreperson Steuer Multicultural Family Center Director Hunter Multicultural Family Center Assistant Director Peterson Recreation Division Manager Kroger AmeriCorps Director Satterly AmeriCorps Coordinator Stickney Leisure Services Manager Ware Lead Secretary Dietz Confidential Account Clerk Abidi FT Secretary Rettenberger Confidential Account Clerk Abidi Lead Secretary Dietz Recreation Division Manager Kroger Succession procedures ❖ Conditions under which succession will take place ➢ Incapacitation (ill or injured) during COOP emergency or >14 days. ➢ Unavailable (travel, grieving, non -communicative) during disaster event ❖ Method of notification ➢ Phone, email, memo as appropriate for timeliness Authority delegation for making key policy determinations and decisions during a COOP event Delegations of authority - who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Recreation Division Operations Direct Operational Activity Recreation Division Manager Emergency Need and/or unavailable Only if Park Division Manager is not available Park Division Operations Direct Operational Activity Park Division Manager Emergency Need and/or unavailable Only if Recreation Division Manager is not available Leisure Services Department Operations All Activity Leisure Services Department Manager Emergency Need and/or unavailable Applies to items necessary to maintain critical function capability during emergencies and general operations during absence, purchase and approval of services and supplies Multicultural Family Center Direct Operational Activity Multicultural Family Center Director Emergency Need and/or unavailable Applies to items necessary to maintain critical Leisure Services COOP Page 2 Updated 4-13-20 function capability during emergencies and general operations during absence AmeriCorps Direct Operational Activity AmeriCorps Director Emergency Need and/or unavailable Applies to items necessary to maintain critical function capability during emergencies and general operations during absence Grand River Center Oversight of Contract Leisure Services Manager Emergency Need and/or unavailable Consult with City Attorney office regarding contract on file Five Flags Civic Center Oversight of Contract Leisure Services Manager Emergency Need and/or unavailable Consult with City Attorney office regarding contract on file Section II. Essential Functions/Services Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Prioritized Listing of Essential Functions for Leisure Services Department Identify the essential functions for your department ❖ Prioritize the Essential Functions as measured by time criticality. Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. NOTE: Critical, important and non —critical functions can and will vary based upon the season of the year for the Leisure Services Department. Critical Functions Division/Activity/ Program Essential Function Priority Staff/Back-up Equipment/Data/Office Supplies Administration Communication — Internal and collaboration with partners Approval payroll, purchase orders and invoices 1 Leisure Service Manager/ Park Division Manager/Rec Division Manager Cell Phone, Computer/Tablet, Network Access Customer Service Communication — External and collaboration with partners 1 Lead Secretary/Secretary/Recreation Supervisors Cell Phone, Computer/Tablet, Network Access Administration Processing of payroll and accounts payable/ receivable and purchasing 1 Confidential Account Clerk / Lead Secretary Cell Phone, Computer/Tablet, Network Access, scanner/printer Important Functions Division/Unit/ Program Essential Function Priority Staff/Back-up Equipment/Data/Office Supplies Tree Crew Removal — trees blocking streets, trees that are dead, 1 Urban Forester - Forestry Activity staff/Park Areas Tree crew vehicles and equipment, hand tools, lifts, Leisure Services COOP Page 3 Updated 4-13-20 trees related to Emerald Ash Borer and Maintenance activity staff/public works staff park maintenance vehicles, tablet Golf Course Mowing grass and treatment of turf maintenance (in season) 1 to 2 during season Golf Supervisor / Golf Tech/Park Horticulture staff Golf course maintenance related equipment Parks Mowing- all grass areas maintained by Park Division(April-October) 1-during season Park Areas and Maintenance activity staff- Park Areas and Maintenance activity seasonal staff/contractors Cell Phones/Radios, Mowers, Trucks, and small equipment Parks Trash Removal- All park areas , Main Street, and Trash cans on City property maintained by Park Division 1 Park Areas and Maintenance activity Staff -Park Areas and Maintenance activity seasonal staff/Pubic Works staff Cell Phones/Radios, Trucks, small equipment. Parks Weeding/landscaped beds and flowers 1 to 2 during season Horticulturist/Greenhouse Activity Staff/Greenhouse Activity seasonal staff Cell Phones/Radios, Trucks, small equipment Parks Park equipment maintenance- Maintain all vehicles and equipment related to park operations (Vehicles, motorized equipment and small engine equipment). 1 to 2 Park Equipment Maintenance Activity Mechanic/ Public Works garage Cell Phones/Radios, Truck, Access to shop and/or tools Park Patrol Assist with traffic redirection, block streets, assess safety issues, crowd control 1 during season Park patrol staff, any LS staff depending upon need Barricades, caution tape, vehicle, radio/cell phone Parks Snow and Ice removal — Sidewalks and parking lots maintained by the Park Division. 1 during season All Park Division Staff/ Public Works Staff/Contractors Cell Phones/Radios, Trucks, trailers, small equipment, snow removal equipment. Parks- Miller Riverview Campground Reservations and Rentals 3 Park Division Manager/ Contract Manager Cell Phone, Computer/tablet, Network Access Recreation Operating System/Information-- cancellations, refunds 1 Recreation Supervisor Elskamp/Beau Cell Phone, Computer/Tablet, Network Access Pool(s) Operating/Chemical Balance/UV 1 during season Recreation Supervisor Beau/Park CPO Lattner Cell Phone, Truck, Tools Onboarding — Seasonal Workforce/Hiring/Training/Policy 1 to 3 Recreation and Park Division Manager/Supervisors Cell Phone, Computer/Tablet, Network Access AmeriCorps Volunteer Reception Center for certain emergencies; Assist in leading certain volunteer activities; AmeriCorps Grant Compliance 1 Director Satterly; Coordinator Stickney; AmeriCorps Members Cellphone, Tablet, Computer, Network Access (AmeriCorps Director); Computer (AmeriCorps Assistant); Tablet (MFC AmeriCorps Member) Other resources as dependent upon situation provided by host site/city. Multicultural Family Center Messaging to and communicating with persons of different cultures, large gathering space for meetings and small rooms for meetings 1 Director Hunter/Assistant Peterson Cell phones, computer/tablet, network access Grand River Center Oversight of contract and potential or specific needs coordination related to a specific emergency 1 Leisure Services Manager/Park Division Manager Cell phone/phone, computer, network access Leisure Services COOP Page 4 Updated 4-13-20 Five Flags Civic Center Oversight of contract and potential or specific needs coordination related to a specific emergency 1 Leisure Services Manager/Park Division Manager Cell phone/phone, computer, network access Non -critical Functions (may be suspended or reduced Division/Unit/ Program Essential Function Priority Staff/Back-up Equipment/Data/Office Supplies Trees Tree trimming, pruning dead trees 1 Forester, Forestry Activity staff/Park Areas and Maintenance Activity staff Tree crew vehicles and equipment, hand tools, lifts, Park Maintenance vehicles, tablet Park Rentals Pavilions, special events permits 3 Park Division Manager/Park Patrol Cell Phone, radio, Computer/Tablet, Network Access Rec Rentals Athletic Areas, Pool, Comiskey building, special events permits 3 Recreation Supervisor/ Secretary Cell Phone, Computer/Tablet, Network Access Marketing, Communications, public information Communication with public of information related to department, brochure development 1 Supervisors/PT Comm. Assist Cell Phone, Computer/Tablet, Network Access Recreation Programming located at Allison Henderson, Comiskey and various locations across the city Dependent on season. Adult athletics, youth athletics, youth enrichment (ages 18 mo to 6 years old), drop -in programs (playgrounds, open gyms), contractual programming (karate, dance, etc.), partner and community development block grant (CDBG) funded neighborhood free programs 1 to 3 Supervisors/Secretary or seasonal assistant(s) Cell Phone, Computer/Tablet, Network Access Multicultural Family Center Cultural and recreational programming, teen programming, career 1 to 2 Director Hunter/Assistant Director Peterson Cell Phone, Computer/Tablet, Network Access AmeriCorps Reading supports elementary schools, teen supports 1 to 2 Director Satterly/ Coordinator Stickney Cell Phone, Computer/Tablet, Network Access Parks -Eagle Point Park Toll Booth- Eagle Point Park Fee Collection. First Saturday in May through 4th Sunday in October 2 Park Patrol activity Seasonal Park staff/Park Patrol Landline, radio Parks-Restrooms and Drinking Fountains Open and functional for public use from the first Saturday in May through the end of October. Tasks include opening and closing for season, cleaning. 1 to 3 Park Areas and Maintenance Activity Staff/Park Areas and Maintenance Activity seasonal staff Trucks, radio, cell phone, cleaning supplies. Parks- Flowers and Hanging baskets Hanging baskets and flowers placed /planted throughout City, April through November. 2 to 3 Horticulturist/ Greenhouse Activity Staff/Greenhouse Activity seasonal staff Trucks, radio, cell -phone, small equipment. Parks -Flags Maintenance of all flag poles and flags maintained by the Park Division. Can just take down if necessary 3 Park Areas and Maintenance Activity Staff/Park Areas and Maintenance Activity seasonal staff Trucks, radio, cell -one, flag supplies Parks -Miller Riverview Campground Seasonal maintenance of facility from April 15th — fourth Sunday in October 1 to 3 Park Areas and Maintenance Activity Staff/Park Areas and Trucks, radio, cell -phone, mowing equipment. Leisure Services COOP Page 5 Updated 4-13-20 Maintenance Activity seasonal staff Onboarding — Seasonal Workforce/Hiring/Training/Policy 1 to 3 Recreation and Park Division Manager/Supervisors Cell Phone, Computer/Tablet, Network Access Port of Dubuque Marina Gas availability 1 to 3 Recreation Division Manager/Marina Manager/Recreation Supervisor Electricity Grand River Center and Five Flags Civic Center Events and activities for community and visitors to Dubuque 1 to 3 Leisure Services Manager/Park Division Manager Cell phone/phone, computer, network access Resource Requirements Identified --Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. ❖ Staffing requirements needed to carry out essential functions established. ➢ Identify key personnel and backups. • Leadership administration each have a manager, supervisor or foreman/foreperson to serve as back- up. • Each supervisor and/or foreman/foreperson have the ability and knowledge to back-up each other. ➢ Identify staff from non -essential areas that can be cross trained to backfill essential functions. • All supervisors and secretaries either already have the knowledge or can be trained to accomplish the majority of functions. • All park foreman/forepersons and most full-time maintenance workers and other full-time park staff can fulfill any park essential function. ➢ Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc. to complete essential functions. • During each season, there are seasonal and part-time staff who could be utilized throughout the City system to help with communication, data input, and other clerical needs. • During the summer months there are seasonal staff available and include: • Swim Staff (80+) — Lifeguard, CPR, First Aid, and AED Certified • Playground & AmeriCorps Staff (40+) — both clerical help and labor force • Park Seasonal (25+) — labor force • During tenure, AmeriCorps members are available to assist with volunteer efforts. ❖ Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ➢ Park Vehicles & Equipment • Trucks -pickups, flatbed pickups, van, 2 ton dump trucks, service body • Mowers- push, ride on 60 inch, ride on 120 inch • Small Equipment- Line trimmers, blowers, chainsaws, generators, hedge trimmers, water pumps, pressure washers, small air compressors. • Trailers- small, medium, heavy duty • Utility vehicles and small boat • Mechanic Tools- welder, multiple battery operated tools • Heavy equipment- skid steers, large tractor, mid size and small tractors w/buckets • Tree Crew Equipment- Log loader, aerial tower, 12 ton chipper trucks, stump grinder, brush chippers • Garbage Truck • Golf Mowers — greens, fairways (tow behind), ride on 72" • Golf Sprayers — tow behind • Golf Trucksters — Gators w/bed ➢ Employee records ➢ Payroll Information/Access ➢ Invoices and bills Leisure Services COOP Page 6 Updated 4-13-20 ➢ City Cell Phones ➢ Computer/Tablet Access ➢ Remote City Network Access ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. ➢ All non -critical functions identified may be suspended during COOP operational period depending upon specifics of the incident. Section III. Alternate Operating Facilities & Service Delivery Alternate Operating Facilities -- Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc.) ❖ The Multicultural Family Center (once completed) and Bunker Hill administration office buildings are interchangeable as far as critical administrative resources and space. The park shop has work stations that can be used by other department staff that may need relocation. ❖ The Grand River Center and/or Five Flags Center could be an option for large gathering space and meeting space but not set up for office administration space ❖ Port of Dubuque Marina can serve as one office for a department personnel. ❖ Alternatively, home offices are possible depending on emergent situation with certain full-time staff teleworking. ❖ Park Division has many satellite work locations and buildings at 2241 Lincoln Avenue, 450 East 16th Street, McAleece Sports Complex, Veterans Memorial Park, Murphy Park Eagle, Point Park, Flora Park, Wilbricht Lane, and Bunker Hill Golf Maintenance that maintenance staff and vehicles could relocate to. Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: Required: Bunker Hill Space for staff workspace set-up. Access to computers, internet, network access, utilities, POTS line available, office resources. Park Division vehicles could be staged in the parking lot. MFC Space for staff workspace set-up. Access to computers, Wi-Fi/internet, network access, utilities, office resources Grand River Center Wi-Fi/internet, utilities, emergency provision in contract Five Flags Wi-Fi/internet, utilities Municipal Services Center Indoor/outdoor parking for Park Division vehicles, lift for mechanic's work. Park Maintenance Headquarters -Lincoln Ave Internet, phone, Network access(fiber at Park office) Forestry Shop- Wilbricht Lane Internet, phone. Network access(no fiber connection) Golf Maintenance Shop Internet, phone, network access. ❖ Alternate Service Delivery - Pandemic/Health related emergency ➢ All admin staff are set-up for home offices ➢ Closing of non -essential amenities to deter group participation ➢ Cancellation and/or delay of immediate programs. ➢ Development of alternate protocols, policies and/or procedures for programs and services. ➢ Constant messaging through social media and other contact lists with safety tips, rule or policy changes, etc. Leisure Services COOP Page 7 Updated 4-13-20 ➢ All meetings and potential staffing needs conducted electronically ➢ Mobile purchasing and payroll procedures and protocols in place and made known to appropriate staff. ➢ Outdoors/frontline staff safety protocols in place, self quarantine as required by guidance at the time. Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. ➢ Dubuque County 911 Public Safety 800 Radio System. All Park Division vehicles are equipped with radios for emergency response activities. Handheld radios are also available.. ➢ City fiber optic network. ➢ Cell Service ➢ Network Access ➢ Internet access. Any interconnection method would maintain availability for communication needed and payroll processing. ❖ Address method of transferring/replicating critical communications at the alternate site ➢ Alternate sites with city fiber (network port) would be best, with little issue. ➢ Alternate site alerting would rely on the 800 radio systems for Park Division Operations ➢ Available department cell phones could be used at alternate sites if other phone systems are not available ➢ Department radios could be used in lieu of phones for inter -departmental communications (local admin public works channel 1) ➢ Call forwarding from office phones and updated voicemail ➢ GoToMyPC access for critical staff ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ➢ If phone systems are available, continue use as normal with forwarding or use of cell numbers. ➢ Use of radio system connects staff internally and externally ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Public contact by social media and city website if available ➢ Public service announcements to local media. ➢ Message boards in locations appropriate to incident. Department has locations across the city with offices as well as park areas. ➢ City management radio channel for inter -city communication if phone systems, internet and cell service is unavailable. ➢ GoToMyPC protocol for Park and Recreation Commission if cannot meet in person and meeting is required. ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. ➢ Critical access is through any internet access. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records Leisure Services COOP Page 8 Updated 4-13-20 ➢ Emergency plans and the Leisure Services Department COOP which outlines succession, delegation and service levels as well as staffing assignments and Leisure Services Department contact phone trees for are stored in a SharePoint folder labelled Emergency Operations. ➢ Administrative policies and procedures are stored on the city's CODI webpage. ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; payroll, retirement, and insurance records and property management and inventory records ➢ LaserFische ➢ Finance Plus ➢ Most records kept with Human Resources or Finance ❖ Include provisions for classified or sensitive data ❖ Identify location and accessibility to vital records ➢ Vital records regarding parks and parks development, agreements are in file cabinets at Leisure Services office and Park Division Managers office with plans in future to digitalize all files. ❖ Include procedures for date back-up and restoration Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll Electronic Finance -City Hall No City Server Accounts Payable/Receivable Electronic Finance -City Hall No City Server Employee Records Hard Copy Human Resources- City Hall No Insurance Electronic Finance Department City Server Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. Phase I: Activation and Relocation ❖ Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. ➢ See Appendix A. ❖ Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. ➢ Department calling tree Phase II: Alternate Facility Operations ❖ Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. ➢ Communication methods established and shared ➢ Address basic utility needs --gas, electric, heat, power ➢ Address security, safety and cleanliness ➢ Initial assignments to make alternative site operational with priority going to communication methods ❖ Establish all personnel on site have equipment and supplies to perform work. ➢ Vehicle and equipment needs assessed and acquired if not at site Phase III: Reconstitution and Return to Normal Operations ❖ Develop procedures for returning to normal operations. Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. Leisure Services COOP Page 9 Updated 4-13-20 ➢ If returning to normal facility — Department and/or Division Manager will assure all systems function using the "Alternate Facility Operations" (phase II above) ➢ If changing to another alternate location, follow phase II guidelines. ❖ Address notification procedures for all employees returning to work. ➢ Individual phone contact will be used to direct off duty personnel to the return to normal or change in alternate location. Section VII. Tests, Training and Exercises Employees plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Review COOP in new employee orientation ❖ Develop test, training and exercise plans that provide ➢ Annual review of department COOP by Leisure Services, Recreation and Park Division Manager ➢ Annual department testing and exercising of COOP plans and procedures ➢ Annual testing of emergency alert, calling tree and notification procedures and systems ➢ Refresher orientation of COOP staff Leisure Services COOP Page 10 Updated 4-13-20 APPENDIX A APPENDIX 1: Dubuque Leisure Services COOP Decision Tree Continue as Normal and Monitor Event for Changes Can important and non- critical functions be met? (COOP Section 2) Continue to monitor event in case of situational changes Trigger Event NO Loss of ability to do "Business as Usual" I YES Life saving needs addressed or assessed by Leisure Services Manager or designee i Leisure Services Manager or designee determines scope of event and expected Operational Period. Recall appropriate Leisure Services Staff i I Determine needed line of succession based on recall results (COOP Section 1) Establish Operational Period i Can Leisure Services critical functions be met? (COOP Section 2) 1 - Follow COOP Plan Section 2 Maintain critical functions and suspend non -critical and important functions as needed. Provide public information or publish notice on suspension of certain services. Determine Operational Period Needs (COOP section 3) - Alternative Facilities -Personnel/Staffing Use COOP Section 3 YES YES i Alternative Sites Needed? I NO Test Communication (COOP Section 4) 1 Work Event Using ICS and Operational Periods I Test the need to continue use of COOP Plan with Operational Period i COOP Plan use needs to continue? NO Begin "Return to Normal" operations COOP Section 6 Leisure Services COOP Page 11 Updated 4-13-20 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Emergency Communications Department Date: April 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Emergency Communications Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Emergency Communications Department Manager. Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Answer 911 Emergency and Non -Emergency phone calls • Prioritize calls received and dispatch appropriate personnel. • This service must continue non-stop. Prioritized Listing of Essential Functions for Emergency Communications Department Page 1 of 7 Dubuque Emergency Communications (911) Center —Continuity of Operations Plan Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Dispatch 911 Emergency Dispatching AAA All Available staff CAD/Phone system/radio System Administration Payroll/Finance AAA Mgr. or Clerical City Network Access/ Phone service/ laptop or tablet Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Radio/Phone maintenance Operations B RACOM Radio/phone Administration Equipment maintenance B Mgr./Leads Report by Phone or radio Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Dispatch Non -emergency calls C Available staff CAD/ Phone System Education/Training Employee training C Training Lead Suspend/curtail ❖ Identify Resource Requirements Division Essential function Priority Staffing required Equipment required Dispatch 911 Dispatching AAA 3 Minimum CAD/Radio/ Phone Dispatch Supervisor/Dispatch AAA 1 CAD/Radio/Phone Admin Payroll/Finance AA Mgr./ Admin Office access to City software system Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. Establish staffing requirements needed to carry out essential functions. • Administrative backup is any Lead Dispatcher • All Dispatchers can fill in for Lead Dispatcher by Seniority to maintain Supervision Identify staff from non -essential areas that can be cross trained to backfill essential functions. • Admin staff will be cross trained on call taking. Manager can fill in to dispatch if needed. Additional workforce, for example retired employees, volunteers, employees from other departments etc. may be used to complete essential functions. Page 2 of 7 Dubuque Emergency Communications (911) Center —Continuity of Operations Plan Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. All non -critical functions identified may be suspended during COOP operational period. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Manager Senior Lead Dispatcher 2nd to 4th Lead Dispatcher by seniority Lead Dispatcher Senior Dispatcher Working 2nd Senior Dispatcher Working Dispatcher Part Time Dispatcher Clerical Full Time Dispatcher Part Time Dispatcher ❖ Establish succession procedures ■ Conditions under which succession will take place • Incapacitation (ill, injured, dead) during COOP emergency or >14 days. • Unavailable (distance/travel/communications) during disaster event • Requirements that do not allow subject to work. ■ Method of notification • Phone, text message (CAD), text message (Cell), Text message (Smart911) email or memo as appropriate for timeliness ■ Terminating conditions • Upon medical release, back to work • Emergency is over Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Page 3 of 7 Dubuque Emergency Communications (911) Center —Continuity of Operations Plan Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Center continuity Direct Operations Lead Dispatcher Emergency Operation Full 911 service functions Radio/Phone maintenance Direct Operations Lead Dispatcher or Senior dispatcher if no Lead Operation issues Only critical operation functions Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ■ Back Up center to be identified • Send minimum of 2 dispatchers to back up center ■ Information Services install additional phone lines at approved backup center. Non -emergency Landline call forwarded to the additional lines. ■ Work with Information Services to move Position 4 and 5 Power Phone to Back Up center to be able to answer all 911 Calls at the back-up facility. ■ If time continues longer, move 3rd phone and connect 1 more computers to the city network and have 3 CAD positions at the backup Center • The backup center will need fire suppression, back-up generator, handicapped access, multiple egress points with access controlled doors ■ Building has voice and data access and 24hour operation capabilities. High speed internet and desk for dispatchers to use for call processing/dispatching Alternate Service Delivery Identify alternate service delivery methods of essential functions if necessary to prevent spread of disease. ■ Suspension of tours/visitors/public education events etc. to minimize contact with non- essential persons. ■ Limit access to dispatch center to essential personnel only. Restrict access to Police officers, Sheriff's deputies, fire personnel. ■ Limit training of staff to keep staff at distance ■ Implement personnel distancing policy to limit spread among staff. ■ Telecommuting is limited due to nature of department. Administration could possibility be done from home. Use of GoToMyPC and laptop/tablet or home equipment needed Section IV. Interoperable Communications ❖ All 911 phone lines and radio Communication equipment must be maintained. Page 4 of 7 Dubuque Emergency Communications (911) Center —Continuity of Operations Plan ❖ Call in 2 staff members and have them respond to the back-up center. Follow written directions on laminated card to transfer phone lines. ❖ Transfer landline 911 to back-up ❖ Notify State radio via Pt to Pt or by phone of wireless 911 being transferred to them ❖ Transfer wireless to State radio ❖ Call forward non -emergency phone lines to other phone numbers set to answer calls ❖ Staff will be contacted by phone. text and/or email of any staffing changes or issues ❖ Phone contact will continue and radio contact to key personnel can be done if needed. ❖ Computers will be maintained at the back-up center. Manager will remote access to data and systems necessary to conduct essential activities and functions. Should Computers go down, back-up index cards are in storage box in dispatch center. Identify the critical communication systems that support the department essential functions. Dubuque County 911 Communications Center CAD. Manual back up is available. • Dubuque County 911 Public Safety 800 Radio System. This system's availability is the top priority and can substitute for most critical communications if needed. • City fiber optic network is primary carrier of station alerting system, but has a backup. • VHF radio with City of Dubuque Fire Department frequency. Back up to above. • Internet access. Any internet connection method (air card, etc.) would maintain availability of department incident reporting, training, and inspection programs. ▪ Address method of transferring/replicating critical communications at the alternate site • Alternate site with city fiber (network port) would be best, with little issue. • Alternate site alerting would rely on the 800 or VHF radio systems. • Phone Lines would be transferred (Landline 911) and (Admin)to back up center location. Wireless 911 would be transferred to State Radio) until 911 service can be hooked up at back up Staff can be notified via text message through CAD or by using Smart911 Software. I Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ▪ If phone systems are available, continue use as normal use of cell numbers. ▪ Text messaging through CAD, Smart911 or department or personal cell phone ▪ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public • Public contact by social media and city website if available. • Public service announcements to local media. • Text messaging through CAD, Smart911 or department, personal cell phone • City Management radio channel for inter -city communication if phone systems, internet and cell service is unavailable. ▪ Establish procedures for access to data and systems necessary to conduct essential activities and functions. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. Page 5 of 7 Dubuque Emergency Communications (911) Center —Continuity of Operations Plan ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ❖ Include provisions for classified or sensitive data ❖ Identify location and accessibility to vital records ❖ Include procedures for date back-up and restoration Records are Classified Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • Manager or Lead Working • Acting Lead contacts Manager or Lead Dispatcher • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • CAD Text messaging is the primary emergency notification system for employee callback • Call List maintained F Drive. Hard copy in dispatch and in manager's office ❖ Phase II: Alternate Facility Operations • Follow instructions on laminated card at EOC to switch phone lines. • Contact Phone Companies and advise of status. Verify with Phone companies that all 911 lines are back at backup facility • Make sure that the 4 radios at the backup center are on the main 4 talk groups- Contact Information Services for needs for additional phone extensions to be set up at backup facility • Contact primary center and have main phone lines transferred to extensions at backup center. ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. ➢ Staff sent to primary facility and assure systems are working. ➢ Contact Phone companies advise to return to normal operations • Staff will be contacted by cell phone. Text message through Smart 911 or email to return to normal operation location Page 6 of 7 Dubuque Emergency Communications (911) Center —Continuity of Operations Plan • If Power 911 Phones were relocated to Backup Center, contact Information Services to return Power phones to primary facility Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • Annual review of department COOP • Review COOP during new employee training • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Refresher orientation of COOP staff Page 7 of 7 Dubuque Emergency Communications (911) Center —Continuity of Operations Plan 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Police Department Reviewed: April 3, 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Police Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked, and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and the Chief of Police Page 1 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Prioritized Listing of Essential Functions for the Dubuque Police Department Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back- up Equipment/Data/Office Supplies Operations Develop specific tactics and activities to accomplish goals and objectives as directed by Command AAA (1) Patrol CO (2) CID CO (3) COP CO Patrol Division assets and staff CID Division assets and staff COP Division assets and staff Admin Division assets and staff Planning Support Command and Operations by processing incident information. Coordinate dissemination of information, as required AAA (1) Emergency Ops CO (2) Patrol CO (3) COP CO Computer (internet and network access), phone, radio, transportation Logistics Support Command and Operations (personnel, supplies and equipment) Perform technical activities AAA (1) Admin CO (2) Admin CO (3) Admin CO Computer (internet and network access), phone, radio, transportation, financial access, payroll Page 2 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back- up Equipment/Data/Office Supplies CID Division Criminal Investigation B Captain, (2) Lieutenants, (9) Investigators Computer (internet and network access), voice and data transmission / reception, transportation COP Division Community Engagement B Captain, (2) Lieutenants, (4) COPs, 4(SRO's), Housing Cpl. Computer (internet and network access), voice and data transmission / reception, transportation, Staff wellness to include, EAP, physical fitness, and Peer Support. Admin Division Administration B Captain, (3) Lieutenants, (2) Staff Officers, (2) Traffic Officers,(9) non -sworn support staff Computer (internet and network access), voice and data transmission / reception, transportation, financial access and records, records access, payroll Patrol Division Primary LE Response Emergency Response B (2) Captains, (8) Lieutenants, (51) Officers Computer (internet and network access), voice and data transmission / reception, transportation NRT / K9 Primary LE Response Emergency Response B Captain, (4) investigators, (2) narcotic K9s, ED K9 Computer (internet and network access), voice and data transmission / reception, transportation Page 3 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back- up Equipment/Data/Office Supplies Public Education COP Division C COPs / SROs, Captain, SRO Lt. Activities suspended Admin Division Departmental Training C Dept. Instructors Suspended / Restricted to need based Admin Division Off site Training C N/A Suspended ❖ Identify Resource Requirements • Paper copies of departmental reports are maintained to be distributed and utilized in the event of data transmission failure. • Establish staffing requirements needed to carry out essential functions. • Identify key personnel and backups. • See below (key positions and line of succession) • Reduced and Emergency Staffing of Sworn Personnel • Maintain employee wellness (physical & mental) through EAP, Peer Support, and the wellness committee. • Identify staff from non -essential areas that can be cross trained to backfill essential functions. • Non -Sworn staff is trained to obtain basic reporting information via telephone and internet. It can then be reviewed by Sworn Staff for further assignment. • Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc. to complete essential functions. • Support staff (records / clerks) can be supplemented from other city departments as needed. • Mutual Aid Agreements are in place. • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. • Paper copies of departmental reports are maintained for use in the event of data transfer failure. Network data is backed up at a secure location. • Computer Access (Internet and Network Access) • Voice and Date (Transmission and Reception) • Transportation (Squad Cars / Bicycles) Page 4 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. • Citizen electronic and mail in reporting for specific misdemeanor criminal reports, with no known suspects. • Suspension of medical response calls for service not immediately requiring a police presence. Requires staging in the area, but not physical presence unless required by the circumstances. • Suspension of non -emergency calls for service (parking, known civil issues, noise complaints). • Suspension of any other functions deemed non -critical based upon the incident. Section II. Lines of Succession / Delegations of Authority* ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Chief Dalsing Assistant Chief Jensen Captain Crabill Assistant Chief Jensen Captain Crabill Captain Engleman Admin Captain Crabill Admin Lieutenant Digman Admin Lieutenant Olson Emergency Ops Captain Lembke Patrol Captain Messerich Patrol Lt. Shannon COP Captain Radloff COP Lt. McClimon COP Lt. Beck CID Captain Engleman CID Lt. Pace CID Lt. Haupert Patrol Captain Baxter Patrol Captain Steil Patrol Lt. Morrissette Patrol Captain Messerich Patrol Captain Steil Patrol Lt. Morrissette Patrol Captain Steil Patrol Captain Baxter Patrol Lt. Morrissette Records Supervisor Laird Records Clerk Schueller ❖ Establish succession procedures • Conditions under which succession will take place • Commanding Officer is unable to function due to injury, illness, other incapacitation or death. • Method of notification • Rank Structure Notification • Departmental Communication (email, text, telephone) • Personal Communication Devices as needed • Terminating conditions Medical (or other) professional clearance to resume duty. Page 5 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Command Executive Chief Illness / Injury Periodic Assessment Command Operational Assistant Chief Illness / injury Periodic Assessment Supervisory Investigative CID Captain Illness / injury Periodic Assessment Supervisory Community Outreach COP Captain Illness / Injury Periodic Assessment Supervisory Administrative/logistics Admin Captain Illness / Injury Periodic Assessment Supervisory Patrol Operations Patrol Captain Illness / Injury Periodic Assessment Supervisory Emergency Operations Emergency Ops Captain Illness / injury Periodic Assessment Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities • Any building with fiber optic, internet, and/or wireless access, parking for 30 vehicles, three offices, and meeting space. ** order of relocation is dependent upon location of the triggering event** ❖ Alternate Service Delivery • Telephonic Reporting • Internet Reporting • Mail in Reporting ➢ Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. Page 6 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Officers have received daily information on best practices and protocols for limiting exposure and spread of disease. All officers have been provided with and have access to PPE. • Address tools or services needed from other county or government organizations to achieve social distancing • Officers receive daily updates via best practices from the City Health Department, County Health department and State of Iowa. • Identify the department's technology needs related to large-scale telecommuting. • See Information Service COOP Plan. • Address considerations for flex shifting. • See attachments. Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. • See Dubuque Communications COOP Plan (911 Center) ❖ Address method of transferring/replicating critical communications at the alternate site • See Dubuque Communications COOP Plan (911 Center) ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. • CAD messaging (mass text) • Non -department cell phone • Non -department email • First Responder Priority for departmental phones ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public • Same as above • Code Red • Social media • Website ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. • Network systems back up at a secure location. • See Information Services COOP Plan. • Department radio network Section V. Safeguarding Vital Records and Databases Page 7 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ➢ Records room line of succession: • Captain Crabill (or designee) • Shelley Laird • Sam Schueller Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • Rank Structure in place • Subject matter experts on staff • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • Code Red • CAD (mass text) • Commander Notification ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. • Move the patrol command center • Use rank structure to begin notifications • Notify staff of the alternate site via the above listed notifications ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. • Mass Motivation through CAD (mass text) • Rank Structure in place • Established communication lines • Coordinate with city departments • Follow previous alternate facilities protocols / guidelines Page 8 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Address notification procedures for all employees returning to work. • Daily contact and updates for sick to allow for return with in established guidelines. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • The Police Dept. conducts annual departmentwide training, in which the COOP plan will be reviewed. • The Police Dept. conducts annual notification testing which includes, response time averages, and total number of responses. • The Police Dept. conducts the following training annually: • Recall and alert notifications • ICS training • PPE usage training and memos on best practices. Page 9 of 9 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations DFD COOP CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Fire Department Last Review Date: March 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Fire Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Fire Chief. Page 1 of 10 DFD COOP Section I. Lines of Succession / Delegations of Authority Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Fire Chief AC Ludescher (seniority in grade through all ACs AC Burkle Assistant Chief Operations AC Fire Marshal Burkle AC Training Harris EMS Supervisor AC Training Harris M.O. Janecke Department Secretary EMS Supervisor Fire Chief ❖ Establish succession procedures • Conditions under which succession will take place • Incapacitation (ill, injured, dead) during COOP emergency or >14 days • Unavailable (distance/travel/communications) during disaster event • Method of notification Phone, Code Red, email, memo as appropriate for timeliness. Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Emergency Operations Command Direct operational activity Command Officer/Incident Commander Emergency Operation Within legal authority provided to Fire Chief during emergency Purchase of services and supplies Purchase of items determined essential and time critical to response activities Acting Fire Chief Emergency need based on time critical event, or essential supplies to maintain critical function Only applies to items necessary to maintain critical function capability Page 2 of 10 DFD COOP ISection II. Essential Functions/Services 1 Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Prioritized Listing of Essential Functions for the Fire Department: Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Ambulance Activity Emergency ambulance service AAA On duty with emergency call back and/or Mutual Aid Ambulances CAD/Dispatch ESO access (online) EMS supplies Suppression Activity Fire Haz Mat and Rescue service AAA On duty with emergency call back and/or Mutual Aid Fire Engines & Ladder trucks CAD/Dispatch ESO access (online) Water Supply Administration Activity Payroll and Finance AAA FC & Dept. Secretary/Command Staff City Network access Phone service Laptop or tablet Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Suppression Vehicle maintenance B City Garage/Private Provider Shop and tools/mechanics Dependent on PW backup plan Administration Building maintenance B FC/AC Fire Marshal & House Captains Reporting by phone or radio, dependent on personnel for repairs or private provider Non -critical Functions (may be suspended or reduced Division/Unit/Program Essential Function Priority - C Staff/Back- up Equipment/Data/Office Supplies Training Employee training C TRN Officer/ Captains Suspend/curtail activity Prevention Public Education C FMO/Asst. Fire Marshal Suspend/curtail activity Page 3 of 10 DFD COOP Prevention Inspections C FMO/Asst. Fire Marshal Suspend/curtail activity ❖ Identify Resource Requirements ♦ Establish staffing requirements needed to carry out essential functions. Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staffing Required Equipment Required Ambulance Activity Emergency ambulance service AAA 6 paramedics 2- ambulances Suppression Activity Fire Haz Mat and Rescue service AAA 15-firefighters 1-command officer 5 — engines 2— ladders 1-command vehicle Administration Activity Payroll and Finance AA 1-Dept. Secretary/Payroll Clerk* 1-admin with approval authority Office access to city software systems. *this function can operate on limited time basis (once per week ?) ■ Identify key personnel and backups. • Admin backup is any command staff • Ambulance and suppression personnel are interchangeable and normal officer positions can be filled by lower ranking personnel. Example; Captains or lieutenants can fill in as command officer. ■ Identify staff from non -essential areas that can be cross trained to backfill essential functions. • AC Training, AC Fire Marshal, Asst. Fire Marshal, and EMS Supervisor are available to fill in at any suppression or ambulance position. • Assistant Chiefs may fill in position as authorizing payroll and approve Critical financial items related to the event. ■ Identify an additional workforce. • Mutual Aid departments are first choice for additional emergency response • Admin activity could be provided by another department manager and clerical staff within City organization. Police department staff would be first choice. Page 4 of 10 DFD COOP • Retired employees may be used for station security, communications or assisting mutual aid as an institutional knowledge resource. ♦ Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. ➢ Fire and Ambulance vehicles and associated equipment. ➢ Employee payroll records (daily etc). ➢ Secretary payroll notes ➢ Invoices and bills (accounts payable) ➢ Standard office supplies ➢ Computer access to city network ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. All non -critical Functions identified may be suspended during COOP operational period Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities Alternate facility capable of supporting essential functions, positions, and personnel. Assume loss of use of one or more fire stations. ■ First consideration should be relocation to another fire station. ■ Alternatively, City facilities would be the next best choice. ■ Minimum space and utilities to house 2-4 firefighters and 1 each ambulance and engine or ladder. ■ Consider stable services (access, heat, electricity and communications). ■ Facility should accommodate personnel for 24 hour shifts if possible. ■ Consideration for the health and safety of relocated employees (especially if long- term) ■ Address physical security and access controls, keep it simple. Potential Facility Alternate Sites Near -Site Location: Required: Page 5 of 10 DFD COOP ❖ Alternate Service Delivery v Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. ■ COVID -19 EVENT DETAIL - see appendix 2 for additional direction ■ Suspension of lobby services, fire company business inspections, public education events, etc to minimize contact with non -essential persons. ■ Implement personnel distancing policy to limit spread among staff. ■ Telecommuting is limited due to the nature of the department mission. However, some 40-hour staff positions could possibly be done from home. These would require assistance from I. S. to supply laptops, internet connection, and "gotomypc" license for up to four additional personnel. (Fire Chief and EMS Supervisor already have that capability). ■ Flex shifting would only be considered for 24-hour staff based on extreme shortage of available personnel, or disaster -related surge in incident needs. No one model can be predicted, but staff will consider circumstances to implement the following possibilities: ♦ Suspension of vacation and other leave to maintain staffing ♦ Mandatory overtime implementation ♦ Use of 40-hour staff to fill 24-Hour positions ♦ Double shifts and switch to 48-hours on/24-hours off ♦ Reduce available companies and use available personnel to staff priority units ♦ Use mutual aid (outside city) fire departments to supplement unit availability ♦ Establish use of retired firefighter and/or volunteer personnel to supplement regular employee staffing (extreme emergency). Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. Dubuque County 911 Communications Center CAD. Manual back up is available. > Dubuque County 911 Public Safety 800 Radio System. This system's availability is the top priority and can substitute for most critical communications if needed. ❖ Address method of transferring/replicating critical communications at the alternate site > Alternate sites with city fiber (network port) would be best, with little issue. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. Page 6 of 10 DFD COOP ➢ If phone systems are available, continue use as normal with forwarding or use of cell numbers. ➢ Use of 800 radio system connects all staff and units. ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Public contact by social media and city website if available. ➢ Public service announcements to local media. ➢ Message boards outside all fire stations ➢ Code Red to communicate with employees ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. ➢ Critical access is through 800 radio system and ANY internet access. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ➢ Emergency Plans Individual storage such as Onedrive, Portable electronic storage and paper copies. ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ➢ Laserfische ➢ Finance Plus ➢ Most records kept with Human Resources, or Finance Vital Records and Databases Page 7 of 10 DFD COOP Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation ■ Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • SEE Appendix 1 ■ Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • Code Red is primary emergency notification system for employee callback • Call Back instructions and Code Red instructions (hard copy) at all fire stations • Normal overtime and call lists (hard copy) in Assistant Chief Operations office ❖ Phase II: Alternate Facility Operations ■ Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. ♦ Assure apparatus parking space and security ♦ Maintain portable radio on DFD Alarm until/unless some other confirmed and tested method for dispatch notification is established. ♦ Confirm apparatus and crew readiness and confirm with dispatch you are "available". ♦ Confirm utility needs and electrical power, heat, etc. ♦ Establish needed crew living arrangement and develop needed "work arounds" to accommodate anticipated length of stay. ♦ Establish any house maintenance required for security, safety, and cleanliness. ❖ Phase III: Reconstitution and Return to Normal Operations ■ Develop procedures for returning to normal operations. Page 8 of 10 DFD COOP • Upon determination by incident commander, a command officer will be assigned to create a demobilization and return to normal plan using ICS procedure and forms. • All companies will await orders and continue as directed until the Demobilization Chief assigned above directs otherwise. ♦ Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. y If returning to normal facility — Officer in charge will assure all systems function using the "Alternate Facility Operations" (phase II above) y If changing to another alternate location, follow phase II guidelines. ♦ Address notification procedures for all employees returning to work. Code Red, or individual phone contact will be used to direct off duty personnel to the return too normal or change in alternate location. Section VII. Tests, Training and Exercises Employees play a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: ■ Annual review of department COOP ■ Annual department testing and exercising of COOP plans and procedures ■ Annual testing of emergency alert and notification procedures and systems ■ Refresher orientation of COOP staff Page 9 of 10 DFD COOP Page 10 of 10 2020 CONTINUITY OF OPERATIONS PLAN WATER DEPARTMENT Denise Blakeley Ihrig P.E. CITY OF DUBUQUE 11902 HAWTHORNE STREET, DUBUQUE, IA 52001 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque WATER DEPARTMENT 20 MARCH 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Water Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Water Department Manager. 2 Table of Contents Part 1: COOP Continuity of Operations Plan 5 Section I.COOP Implementation 6 Section II.Essential Functions/Services 9 Section III.Lines of Succession / Delegations of Authority 13 Section IV.Alternate Operating Facilities & Service Delivery 15 Section V.Interoperable Communications 16 Section VI.Safeguarding Vital Records and Databases 17 Section VII. Tests, Training and Exercises 18 Part 2: Mutual Aid and Assistance Agreement IOWARN 19 IOWARN Contact Information 20 IOWARN Signed Agreement 21 Part 3: SOP Sanitary and Unsanitary Conditions for Water Main Breaks and Repairs 31 Part 4: Water Department Operations and Vendor Contact Information 126 Water Department Manager Responsibilities and Tasks 132 Organizational Charts 135 Employee 138 Certifications 138 Department Owned Property 140 Department Manuals and Resources 141 Union Contract 143 Department 5-Year Capital Budget 187 CeII Phone Tower Leases 188 3 American Water Works Association Contact Information 189 Homeland Security 190 Iowa Department of Natural Resources Contact Information 191 Consultant Contract Information 193 Plant Vendors -Maintenance 194 Chemicals 195 Distribution Vendors & Contractors 196 Plumbinb & Backflow Contractors 198 Distribution Material Vendors 201 Plumbing and Meter Supply Vendors 201 Miscellaneous Contacts 202 CURRENT OBJECTIVES AND PERFORMANCE MEASURES 204 REPORTS 210 Part 5: COOP Activation and Responses 211 Pandemic Response 212 4 Part 1: COOP Continuity of Operations Plan Section I. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • For the Water Department the Activation of this COOP is for events beyond the response required under the Water Department's Standard Operating Procedures for Sanitary and Unsanitary (i.e. main breaks) Conditions. Example Trigger Events include: • Physical Infrastructure Loss resulting in Inability to Treat and Distribute Drinking Water • Act of Terrorism, including Chemical, Preventing Treatment and Distribution of Drinking Water • Natural Disasters, i.e. Flood, Lightening, Drought, Tornado, Train Derailment resulting in Inability to Treat and Distribute Drinking Water • Environmental Conditions that may lead to Water Treatment Plant Operators and Distribution Crews able to perform their duties including emergency response, i.e. Pandemic • Other resulting in Inability to Treat and Distribute Drinking Water COOP Activation Decision Tree - Phase 1 Ye s stiere increase or clear and present risk or Loss of Abilityto Produce Drinking Water or Respond to Emer encies Operator /Distribution Crew alert Water Dept Manager or Alt_ Can the Situation be resolved using Procedures in SOPfor Sanitary/Unsanitary Conditions? Yes No Can Critical & Essential operations continue? Operator /Distribution Crew alert Water Dept Manager or Alt Can Critical operations continue? Yes No Yes No Alert Dept Manager and Monitorfor situational changes Determine Which Critical Operations are affected FollowSOP for Sanitary/Unsanitary Conditions until situation resolved Alert Dept Manager and Monitorfor situational changes Return to Start of Decision Tree and follow "Yes" Personnel Sequester Operators/Distribution Crew not affected or contact 3DNRand IOWARN Physical lnfrastm cture: FollowSOPfor San itary/Unsanitary Conditions Communications_ Discontinue Use of SCADA go to radio and manual operations 6 ■ Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. ♦ Follow Standard Operating Procedure for Sanitary and Unsanitary Conditions, which includes: ➢ City Staff Members ➢ Regulatory Agencies ➢ Public Notification Procedures including City required and EPA Required Notification Tiers ❖ Phase II: Alternate Facility Operations ■ Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. • Water Treatment: No Alternative Facility. ♦ Alert Iowa DNR and activate Mutual Aid and Assistance Agreement the Iowa Water/Wastewater Agency Response Network (IOWARN) notice to mobilize mobile treatment facilities and alternate sources of drinkin• water. • Municipal Service Center alternative would be the Water Treatment Plant for emergency response personnel and vehicles. Dubuque County Emergency Management facility on Public Safety Way, off Seippel Road, would be a second alternative response location for personnel and vehicles. ❖ Phase III: Reconstitution and Return to Normal Operations ■ Develop procedures for returning to normal operations. ♦ Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. ➢ In the event of: physical infrastructure damage and the department is not able to treat or distribute water, the ability to return to normal treatment and distribution at the water treatment plant would be at the conclusion of any construction repairs and restoration of the sanitary conditions. ➢ In the event of: Act of Terrorism, including Chemical, resulting in the prevention of treatment and distribution of drinking water, follow EPA and Iowa DNR requirements and guidance and the SOP for Sanitary and Unsanitary Conditions ➢ In the event of Natural Disasters, i.e. Flood, Lightning, Drought, Tornado, Train Derailment resulting in Inability to Treat and Distribute Drinking Water follow EPA and Iowa DNR requirements and guidance and the SOP for Sanitary and Unsanitary Conditions ➢ In the event of Environmental Conditions that may lead to Water Treatment Plant Operators and Distribution Crews able to perform their duties including emergency response, i.e. Pandemic, return to normal conditions shall the follow 7 EPA and Iowa DNR requirements and guidance and the SOP for Sanitary and Unsanitary Conditions and at the conclusion of the environmental condition. ➢ In the event of Other resulting in Inability to Treat and Distribute Drinking Water follow EPA and Iowa DNR requirements and guidance and the SOP for Sanitary and Unsanitary Conditions ♦ Address notification procedures for all employees returning to work. ➢ All employees return to work under normal conditions shall be via phone as contacted by the Department Manager or designee via communication from the City Manager or designee. 8 Section II. Essential Functions/Services Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department ■ Prioritize the Essential Functions as measured by time criticality. ♦ Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Division/Activity Essential Function Time Criticality Equipment/supplies WTP Operations and Maintenance Water Treatment, Distribution, Pumping Stations, and Storage Daily record keeping of all monitoring lab data for Monthly Operating Report and chemical treatment adjustments. Required Daily cannot be suspended. Subject to DNR Permit. Laboratory equipment and testing supplies, i.e. HACH , piping, valves, tools, access to City Network, Access database or HACHWims for Monthly Operating Report database WTP Operations and Maintenance Regulatory Distribution and Well Sampling and Testing Required Monthly cannot be suspended. Subject to DNR Permit. Laboratory equipment and testing supplies, i.e. HACH, truck, fuel Distribution and Meters Operations and Maintenance Operation and Maintenance of the City's distribution system, Water Quality compliance, meters/register/MIU installation, repair and replacement, backflow prevention, and emergency response Emergency Response availability and On -Call status required daily. Water Quality as necessary by City or Customer. Backflow prevention annually. Vehicles, fuel, pipe, valves, hydrants (repair inventory) tools, internet, mobile PCs, iPads, cell phones, active GIS, City network, paper maps. Administration Management, regulatory compliance, payroll, purchasing, POs, and payment processing Required bi- monthly and monthly. City Network, internet access, computer +monitor/laptops, scanner GIS Mapping and location of distribution system assets, and Lead and Copper Rule sampling assistance Lead and Copper Rule assistance May through September City Network, GIS, computer +dual monitors/laptop, internet access ❖ Identify Resource Requirements • Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. ♦ Establish staffing requirements needed to carry out essential functions. 9 Water Department Contact List and Emergency Res Jonse DNR Certification Grades Name Job Title Essential,Important, Non Essential Can or Cannot Work Remotely Distribution Operator Water Department Manager and Plant Manager Non Critical Yes Water Distribution Supervisor Non Critical Yes Confidential Account Clerk Essential Yes GIS Specialist Non Critical Yes Water Engineering Assistant Non Critical Yes Meter Repair Worker 1 Important No Water Meter Worker 1 Important No Meter Repair Worker 2 Important No Water Distribution Foreman Important No Water Distribution Worker Important No Water Distribution Worker Important No Water Distribution Worker Important No Water Distribution Worker Important No Water Distribution Worker Important No Equipment Operator 2 Important No Equipment Operator 2 - Workman' Non Critical No 10 Industrial Electrician - SCADA Essential No Industrial Maintenance Mechanic Essential No Water Treatment Plant Operator Essential No Water Treatment Plant Operator Essential No Water Treatment Plant Operator Essential No Water Treatment Plant Operator Essential No Water Treatment Plant Operator Essential No Water Treatment Plant Operator Essential No Identify staff from non -essential areas that can be cross trained to backfill essential functions. Personnel Activity Crosstrain Area Water Department Manager PO, Payroll, Purchasing, Engineering design, RFPs, sampling and testing Water Distribution Supervisor PO, Payroll, Purchasing Sampling and testing GIS Specialist PC set up, sampling and testing Water Meter Repairworker 2 Water Treatment Plant Operator, sampling and testing ■ Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc to complete essential functions. • The following are current City employees that at one time have worked in the Water Distribution Division: • Past Water Distribution/Operations employees that have retired from the City: 11 ❖ Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. In addition to the those listed above: • Water Treatment: ♦ Vendors, Suppliers for Water Treatment and Distribution O&M ♦ Water treatment chemicals ♦ PPE (gloves, masks, disinfectant, full body protective suits (Tyvek) ♦ Internet ♦ City Network • Water Distribution ♦ Vendors, Suppliers for Water Treatment and Distribution O&M ♦ Emergency repair materials for the distribution system, inc. pipe, valves, fire hydrants ♦ PPE (gloves, masks, disinfectant, full body protective suits (Tyvek) ♦ Internet ♦ City Network • Administration & GIS ♦ Internet ♦ City Network ♦ PPE (gloves, masks, disinfectant, full body protective suits (Tyvek) ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. • Development Review • Valve operation and maintenance • Water main flushing • Planned/scheduled main replacements • Training and conferences 12 Section III. Lines of Succession / Delegations of Authority Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. The following would immediately follow the absence of the position, and shall be immediately filled by those identified on the Essential Functions of the Employee Schedule to continued compliance in the event of a prolonged incident: Key Positions & Lines of Succession Position Successor 1 Successor 2 Water Department Manager/Plant Manager Water Distribution Supervisor Water Distribution Foreman Water Meter Repair Worker 2 Water Treatment Operators when there are less than 3 operators *For prolon ed absence of the department manager/plant manager (>4weeks) ❖ Establish succession procedures ■ Conditions under which succession will take place • In the event of illness or vacation of the position, i.e. an anticipated prolonged period. • For the Water Treatment Plant Operators, when the operators drop to 4 for a prolonged period (greater than 180 days) or when it is apparent there will be further reduction of staff, then the successor will be contacted. If it is a retiree, then seek the second successor for increased training. ■ Method of notification — phone call ■ Terminating conditions — when other staff members have clearance from their GP to return to work or duties have been assigned to another party. 13 Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation PO, Payroll, AP/AR authorization Administration- Water Department Manager and Confidential Account Clerk Water Department Manager and Conf Acc Clerk Absence of Water Department Manager and Conf Acc Clerk No new construction only supplies and personnel for emergency Emergency Response Emergency response Water Department Manager and Water Distribution Supervisor Absence of Water Department Manager and/or Water Distribution Manager Emergency dependent Regulatory Compliance Operations and Administration Water Department Manager Absence of Water Department Manager or conditions warrant transfer No operational changes without operator consultation and IDNR. 14 Section IV. Alternate Operating Facilities & Service Delivery ❖ Key Documents to restoring and ensuring continued operations in the Water Department are detailed in Appendix A ❖ Alternate Operating Facilities ➢ Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Water Treatment: No Alternative Facility. • Alert Iowa DNR and activate Mutual Aid and Assistance Agreement for the Iowa Water/Wastewater Response Network (IOWARN) notice to mobilize mobile treatment facilities and alternative sources of drinking water. • Municipal Service Center alternative would be the Water Treatment Plant for emergency response personnel and vehicles or the Dubuque County Emergency Management facility on Public Safety Way, off Seippel Road. ❖ Alternate Service Delivery ➢ Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. • Identify the department's technology needs related to large-scale telecommuting. • Laptops • City Network Access • GIS access • SCADA controls • Fiber Optic Network to remote sites • Address considerations for flex shifting • Distribution and meter crew 50/50 split • Operators sequestered on site, secure shelter in place accommodations, i.e. campers/mobile homes • Cross train staff as back up operators stationed at home • Maintenance staff sequestered at home to reduce interference with vendors and operations staff • Limited vendor access with established cold/hot zones • Supply Chain Verification • Obtain notices from suppliers and vendors will provide supplies per normal schedule or obtain alternative resources • Alert DNR of any supply chain issues 15 Section V. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. ➢ SCADA ➢ Radio ➢ Internet ➢ City Network ➢ Access Database ❖ Address method of transferring/replicating critical communications at the alternate site ➢ In the absence of SCADA go to Radio. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ➢ Go to Radio Communications ➢ Go to Cellular Communications ➢ Station staff and request assistance from other available city staff to physically monitor remote stations. ➢ Documentation would follow paper recording back up method. ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Public Communications in the absence of current technology would be assistance from Fire and Police using audible radio system in vehicles for DO NOT DRINK ➢ Public Communications via Hand delivery of door hangers for BOIL ORDER/ADVISORY. Assistance may be necessary from Fire and Police. See SOP for Unsanitary and Sanitary Conditions. ➢ DNR Field office 1 in Manchester, 40-minute drive. ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. ➢ GIS mapping is available in print for distribution system records ➢ Treatment plant operations: go to manual operations ➢ Laboratory recording: go to paper record 16 Section VI. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ❖ Include provisions for classified or sensitive data ❖ Identify location and accessibility to vital records ❖ Include procedures for date back-up and restoration Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll AP/AR Personnel Records Distribution System Mapping Back flow Prevention Records Meter/MIU/Registers - Easements - Treatment Plant blueprints Other Legal Docs including leases, connection fees, system purchases Operator Treatment Records 17 Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: ■ Annual review of department COOP ■ Annual department testing and exercising of COOP plans and procedures ■ Annual testing of emergency alert and notification procedures and systems ■ Refresher orientation of COOP staff 18 Part 2: Mutual Aid and Assistance Agreement IOWARN IOWARN Contact Information Mutual Aid and Assistance Agreement for the Iowa Water/Wastewater Agency Response Network (IOWARN) Contact: JOHN LINS Utility Incident Manager Des Moines Water Works 2201 George Flagg Parkway Des Moines, Iowa 50321 phone: (515) 323-6234 cell (515) 208-1993 fax: (515) 283-8723 e-mail: linsdmww.com www.dmww.com Alternative Contact Information in the event IOWARN is not in effect: Iowa Homeland Security and Emergency Management JEREMY SROKA REP Program Manager Iowa Homeland Security and Emergency Management Joint Forces Headquarters 6100 NW 78th Ave Johnston, IA 50131 Office: 515-323-4324 Cell: 319-540-1083 Fax: 515-323-4208 e-mail: jeremy.sroka@iowa.gov 20 IOWARN Signed Agreement Mutual Aid and Assistance Agreement for the Iowa Water/Wastewater Agency Response Network (10WARN) AGREEMENT This Agreement is made and entered into by public and private water and wastewater utilities and emergency management commissions and agencies that have, by executing this Agreement, manifested their intent to participate in an intrastate program for Mutual Aid and Assistance among Iowa Water and Wastewater Utilities known as the IOWARN Mutual Aid and Assistance Program. This Agreement is authorized under Chapter 29C, Iowa Code, which authorizes mutual aid arrangements for reciprocal disaster services and recovery. This Agreement is further authorized as to the public agencies' utility parties hereto by the respective authority of 357, 357A, 358, 364, 384, 386, 388, 389 and 504A Iowa Code, which authorize Water and Wastewater Utilities that are public agencies to contract to provide services. This Agreement is further authorized by Section 28E12 Iowa Code, but this Agreement is not otherwise adopted pursuant to Chapter 28E, Iowa Code, and is not intended to be a 28E Agreement, ARTICLE I. PURPOSE Recognizing that emergencies may require aid or assistance in the form of personnel, equipment, and supplies from outside the area of impact, the signatory utilities hereby establish a program for Mutual Aid and Assistance for Iowa Water and Wastewater Utilities known as the "IOWARN Mutual Aid and Assistance Program". Through the IOWARN Mutual Aid and Assistance Program, Members coordinate response activities and share resources during emergencies, with the support and assistance of the Associated Agencies. This Agreement sets forth the procedures and standards for the administration of the IOWARN Mutual Aid and Assistance Program. 21 ARTICLE 11. DEFINITIONS A. Authorized Official -- An employee or officer of a Member that is authorized to: 1. Request assistance; 2. Offer assistance; 3. Refuse to offer assistance; or 4. Withdraw assistance under this Agreement. E. Emergency — A natural or human caused event or circumstance causing, or imminently threatening to cause, loss of life, injury to person or property, human suffering or financial Toss, and includes, but is not limited to, fire, explosion, flood, severe weather, drought, earthquake, volcanic activity, spills or releases of ail or hazardous material, contamination, utility or transportation emergencies, disease, blight, infestation, civil disturbance, riot, war and terrorism, sabotage or other intentional acts, that are, or could reasonably be, beyond the capability of the services, personnel, equipment, and facilities of a IOWARN Mutual Aid and Assistance Program Member to fully manage and mitigate internally. C. Members — Any public or private Water or Wastewater Utility that manifests intent to participate in the IOWARN Mutual Aid and Assistance Program by executing this Agreement. Members are primarily Iowa Water or Wastewater Utilities, but membership is open to water and wastewater utilities outside the State of Iowa that operate in areas contiguous to an Iowa utility Member. 1. Requesting Member — A Member who makes a Requestfor Assistance under the IOWARN Mutual Aid and Assistance Program. 2. Responding Member — A Member that responds to a Request for Assistance under the IOWARN Mutual Aid and Assistance Program. 3. Non -Responding Member - A Member that does not provide aid or assistance during a Period of Assistance under the IOWARN Mutual Aid and Assistance Program. D. Associated Agencies — The Iowa Emergency Management Commissions and Agencies and other non utility participants that agree to provide a support role for the IOWARN Mutual Aid and Assistance Program by separate agreement or other undertaking approved by the Statewide Steering Committee. Associated Agencies are not parties to this Agreement and do not provide or receive emergency services under this Agreement. To the extent Associated Agencies do provide any emergency services to any Member the terms under which such services are provided shall be as the provider and recipient shall separately agree. The initial Associated Agencies include: (1) the Iowa Section of the American Water Works Association; (2) the Iowa Rural Water Association; (3) the Iowa Department of Natural Resources, and (4) the Homeland Security and Emergency Management Division of the Iowa Department of Public Defense. Additional Associated Agencies may be added by vote of the Statewide Committee. E. Confidential information - Any document shared with any signatory of this Agreement that is marked confidential and that is confidential under Section 22.7 Iowa Code or other exemption from disclosure under Ch. 22, Code of Iowa. 22 F. Request for Assistance. A request by a Requesting Member to any one or more other Members for mutual aid or assistance in the event of an Emergency under the lOWARN Mutual Aid and Assistance Program. F. Period of Assistance — A specified period of time when a Responding Member assists a Requesting Member. The period commences when personnel, equipment, or supplies depart from Responding Members facility and ends when the resources return to their facility (portal to portal). All protections identified in this Agreement apply during this period. The specified Period of Assistance may occur during response to or recovery from an emergency, as previously defined. G. Statewide Committee — The Statewide Committee established under Article III. H. Statewide Chair — The chair of the Statewide Committee selected under Article !!!. J. Statewide Coordinator — The person appointed to such position by the Statewide Committee as provided under Article III. J. National incident Management System (NIMS): A national, standardized approach to incident management and response that sets uniform processes and procedures for emergency response operations. ARTICLE 111. ADMINISTRATION The lOWARN Mutual Aid and Assistance Program shall be administered through a Statewide Committee, a Statewide Chair and a Statewide Coordinator. The Statewide Committee shall provide coordination of the IOWARN Mutual Aid and Assistance Program before, during, and after an emergency and shall include regional representatives from across the state. The designated regions shall be consistent with the regions established by the Iowa Department of Natural Resources. The Statewide Committee shall consist of one Member representative from each region selected by the Members in such region by written ballot and a Statewide Chair selected by the Members annually by written ballot, plus one non -voting representative of each Associate Agency. The Statewide Committee shall meet at least annually and shall plan and coordinate emergency planning and response activities for the IOWARN Mutual Aid and Assistance Program under the leadership of the Statewide Chair. The Statewide Committee shall appoint a Statewide Coordinator from among the employees of the Members or Associated Agencies who shall facilitate, coordinate, and administer the activities of the IOWARN Mutual Aid and Assistance Program under the direction of the Statewide Committee. The Statewide Committee shall establish rules of procedure for the conduct of committee business. Meetings of the Statewide Committee shall be conducted in accordance with the lows Open Meetings Law, Chapter 21, lawa Code. 23 ARTICLE IV. PROCEDURES In coordination with the emergency management and public health system of the state, the Statewide Committee shall develop operational and planning procedures for the IOWARN Mutual Aid and Assistance Program. These procedures shall be reviewed at least annually and updated as needed by the Statewide Committee and shall be set forth in an IOWARN Mutual Aid and Assistance Program Manual and an IOWARN Mutual Aid and Assistance Handbook, ARTICLE V. REQUESTS FOR ASSISTANCE A. Member Responsibility: Members shall: (1) identify an Authorized Official and alternates; (2) provide contact information, including 24-hour access; and (3) provide information on resources that may be available from the utility for mutual aid and assistance response. Such contact information shall be updated annually or when changes occur, shall be provided to the State Committee for inclusion in the IOWARN Mutual Aid and Assistance Program Manual and the IOWARN Mutual Aid and Assistance Handbook. In the event of an Emergency, a Members Authorized Official may request mutual aid and assistance directly from a specific Member by making a Request for Assistance to such Member or may make a general Request for Assistance to the Statewide Coordinator. Requests for Assistance can be made orally or in writing. When made orally, the specific request for personnel, equipment, and supplies shall be subsequently confirmed in writing as soon as practicable. Requests for Assistance to a Member shall be directed to the Authorized Official of any Member. If a Request for Assistance is made to the Statewide Coordinator, the Statewide Coordinator shall forward the Request for Assistance to one or more Authorized Officials of Members for direct response to the Requesting Member. Specific detailed protocols for making and responding to Requests for Assistance shall be set forth in the IOWARN Mutual Aid and Assistance Program Manual and the IOWARN Mutual Aid and Assistance Handbook. B. Response to a Request for Assistance — Members are not obligated to respond to a request. After a Member receives a Request for Assistance, the Authorized Official shall evaluate whether or not to respond, whether resources are available to respond, or if other circumstances would hinder response. Following the evaluation, the Authorized Official shall, as soon as possible, inform the Requesting Member whether it will respond. If the Member is willing and able to provide assistance, the Member shall inform the Requesting Member about the type of available resources and the approximate arrival time of such assistance. C. Discretion of Responding Members Authorized Official — Execution of this Agreement does not create any duty to respond to a Request for Assistance. When a Member receives a Request for Assistance, the Authorized Official shall have sole and absolute discretion as to whether or not to respond, or the availability of resources to be used in such response. An Authorized Member's decisions on the availability of resources shall be final. 24 ARTICLE VI. RESPONDING MEMBER PERSONNEL A. National Incident Management System - When providing assistance under this Agreement, the Requesting Member and Responding Member shall be organized and shall function under the National Incident Management System. B. Control - While employees so provided may be under the supervision of the Responding Member, the Responding Members employees come under the direction and control of the Requesting Member, consistent with the NIMS Incident Command System to address the needs identified by the Requesting Member. The Requesting Member's Authorized Official shall coordinate response activities with the designated supervisors of the Responding Member. The Responding Member's designated supervisors must keep accurate records of work performed by personnel during the specified Period of Assistance. C. Food and Shelter — Whenever practical, Responding Member personnel must be self sufficient for up to 72 hours. When possible, the Requesting Member shall supply reasonable food and shelter for Responding Member personnel. If the Requesting Member is unable to provide food and shelter for Responding Member personnel, the Responding Members designated supervisor is authorized to secure the resources necessary to meet the needs of its personnel. Except as provided below, the cost for such resources must not exceed the normal cost for such resources for that area. To the extent Food and Shelter costs exceed the normal costs for the area, the Responding Member must demonstrate that the additional costs were reasonable and necessary under the circumstances. Unless otherwise agreed to in writing, the Requesting Member remains responsible for reimbursing the Responding Member for all reasonable and necessary costs associated with providing food and shelter, if such resources are not otherwise provided by the Requesting Member. D. Communication — The Requesting Member shall provide Responding Member personnel with radio equipment as available, or radio frequency information to program existing radio equipment, in order to facilitate communications with local responders and utility personnel. E. Status — Unless otherwise provided by law, the Responding Member's officers and employees retain the same privileges, immunities, rights, duties and benefits as provided in their respective jurisdictions. F. Licenses and Permits — To the extent permitted by law, Responding Member personnel that hold licenses, certificates, or permits evidencing professional, mechanical, or other skills shall be allowed to carry out activities and tasks relevant and related to their respective credentials during the specified Period of Assistance. G. Right to Withdraw — The Responding Member's Authorized Official retains the right to withdraw some or all of its resources at any time for any reason in the Responding Member's sole and absolute discretion. Notice of intention to withdraw must be communicated to the Requesting Member's Authorized Official as soon as is practicable under the circumstances. 25 ARTICLE Vll. COST- REIMBURSEMENT The Requesting Member shall reimburse the Responding Member for each of the following categories of costs incurred during the specified Period of Assistance as agreed in whole or in part by both parties; provided, that any Responding Member may, if it so elects, assume in whole or in part such loss, damage, expense, or other cost, or may loan such equipment or donate such services to the Requesting Member without charge or cost. A. Personnel — The Responding Member shall be reimbursed by the Requesting Member for personnel casts incurred for work performed during the specified Period of Assistance. Responding Member personnel costs shall be calculated according to the terms provided in their employment contracts or other conditions of employment. The Responding Members designated supervisors must keep accurate records of work performed by personnel during the specified Period of Assistance. Requesting Member reimbursement to the Responding Member may consider all personnel costs, including salaries or hourly wages, costs for fringe benefits, and indirect costs. B. Equipment — The Requesting Member shall reimburse the Responding Member for the use of equipment during the specified Period of Assistance, including, but not limited to, reasonable rental rates, all fuel, lubrication, maintenance, transportation, and loading/unloading of loaned equipment. All equipment shall be returned to the Responding Member in substantially the same condition the equipment was in at the time it was supplied to the Requesting Member as soon as is practicable and reasonable under the circumstances. At a minimum, rates for equipment use must be based on the Federal Emergency Management Agency's (FEMA) Schedule of Equipment Rates. If a Responding Member uses rates different from those in the FEMA Schedule of Equipment Rates, the Responding Member must provide such rates orally or in writing to the Requesting Member prior to supplying the equipment. Mutual agreement on which rates are used must be reached in writing prior to dispatch of the equipment. Reimbursement for equipment not referenced on the FEMA Schedule of Equipment Rates must be developed based on actual recovery of costs. If Responding Member must lease a piece of equipment while its equipment is being repaired, Requesting Member' shall reimburse Responding Member for such rental costs. C. Materials and Supplies — The Requesting Member must reimburse the Responding Member in kind or at actual replacement cost, plus handling charges, for use of expendable or non- returnable supplies. The Responding Member must not charge direct fees or rental charges to the Requesting Member for other supplies and reusable items that are returned to the Responding Member in a clean, damage -free condition. Reusable supplies that are returned to the Responding Member with damage that renders them unusable must be treated as expendable supplies for purposes of cost reimbursement. D. Payment Period — The Responding Member must provide an itemized bill to the Requesting Member far all expenses incurred by the Responding Member while providing assistance under this Agreement. The Requesting Member must send the itemized bill not later than (90) ninety days following the end of the Period of Assistance. The Responding Member may request additional periods of time within which to submit the itemized bill, and Requesting Member shall not unreasonably withhold consent to such request. The Requesting Member must pay the bill in full on or before the forty-fifth (45`h) day following the billing date. The Requesting Member may request additional periods of time within 26 which to pay the itemized bill, and Responding Member shall not unreasonably withhold consent to such request, provided, however, that all payment shall occur not later than one- year after the date a final itemized bill is submitted to the Requesting Member. E. Records — Each Responding Member and their duly authorized representatives shall have access to a Requesting Member's books, documents, notes, reports, papers and records which are directly pertinent to the Request for Assistance made pursuant to this Agreement for the purposes of reviewing the accuracy of a cost bill or making a financial, maintenance or regulatory audit. Each Requesting Member and their duly authorized representatives shall have access to a Responding Member's books, documents, notes, reports, papers and records which are directly pertinent to a Response to a Request for Assistance made pursuant to this Agreement for the purposes of reviewing the accuracy of a cost bit or making a financial, maintenance or regulatory audit. Such records shall be maintained for at least three (3) years or longer where required by law. ARTICLE VIII. DISPUTES If any controversy or claim arises out of, or relates to, the execution of the Agreement, including, but not limited to, alleged breach of the Agreement, the disputing Members shall first attempt to resolve the dispute by negotiation, followed by mediation and finally shall be settled by arbitration in accordance with the Rules of the American Arbitration Association. Any court of competent jurisdiction may enter the judgment rendered by the arbitrators as final judgment that is binding on the parties. ARTICLE IX. REQUESTING MEMBER'S DUTY TO INDEMNIFY Except as provided in Article Mil pertaining to Insurance, the Requesting Member shall assume the defense of, fully indemnify and hold harmless, the Responding Member, its officers and employees, from all claims, loss, damage, injury and liability of every kind, nature and description, directly or indirectly arising from Responding Member's work during a specified Period of Assistance. The scope of the Requesting Member's duty to indemnify includes, but is not limited to, suits arising from, or related to, negligent or wrongful use of equipment or supplies on loan to the Requesting Member, or faulty workmanship or other negligent acts, errors or omissions by Requesting Member or the Responding Member personnel. The Requesting Member's duty to indemnify is subject to, and shall be applied consistent with, the conditions set forth in Article X. ARTICLE X. SIGNATORY INDEMNIFICATION In the event of a liability, claim, demand, action, or proceeding of whatever kind or nature arising out of a specified Period of Assistance, the Requesting Member shall have a duty to defend, indemnify, save and hold harmless all Non -Responding Members, their officers, agents and 27 employees from any liability, claim, demand, action, or proceeding of whatever kind or nature arising out of a Period of Assistance. ARTICLE XI. WORKER'S COMPENSATION CLAIMS The Responding Member is responsible for providing worker's compensation and other injury and death benefits for its employees and for administering worker's compensation for its employees. The Requesting Member is responsible for providing worker's compensation and other injury and death benefits for its employees and for administering worker's compensation for its employees. ARTICLE XII. NOTICE A Member who becomes aware of a claim or suit that in anyway, directly or indirectly, contingently or otherwise, affects or might affect other Members of this Agreement shall provide prompt and timely notice to the Members who may be affected by the suit or claim. Each Member reserves the right to participate in the defense of such claims or suits as necessary to protect its own interests. ARTICLE XIII. INSURANCE Members of this Agreement shall maintain an insurance policy or maintain a self insurance program that covers activities that it may undertake by virtue of membership in the IOWARN Mutual Aid and Assistance Program. Each Member waives subrogation for any injury or damage covered by its own insurance against any other member. ARTICLE XIV. CONFIDENTIAL INFORMATION To the fullest extent allowed by Chapter 22, Iowa Code or other applicable law, each Member and Associated Agency shall maintain in the strictest confidence and shall take all reasonable steps necessary to prevent the disclosure of any Confidential Information disclosed under this Agreement. If any Member, Associated Participant, third party or other entity requests or demands, by subpoena or otherwise, that a Member or Associated Participant disclose any Confidential Information disclosed under this Agreement, the Member or Associated Participant shall immediately notify the owner of the Confidential Information and shall take all reasonable steps necessary to prevent the disclosure of any Confidential Information by asserting all applicable rights and privileges with respect to such information and shall cooperate fully in any judicial or administrative proceeding relating thereto. 28 ARTICLE XV. EFFECTIVE DATE This Agreement shall be effective after the Water and Wastewater Utility's authorized representative executes the Agreement and the Statewide Committee Chair receives the Agreement. The Statewide Committee Chair shall maintain a master list of all Members and Associated Agencies in the IOWARN Mutual Aid and Assistance Program. ARTICLE XVI. WITHDRAWAL A Member may withdraw from this Agreement by providing written notice of its intent to withdraw to the Statewide Chair. Withdrawal takes effect 60 days after the appropriate officials receive notice. Withdrawal from this Agreement shall in no way affect a Requesting Member's duty to reimburse a Responding Member for cost incurred during a Period of Assistance, which duty shall survive such withdrawal. ARTICLE XVII. MODIFICATION No provision of this Agreement may be modified, altered or rescinded by individual parties to the Agreement. Modifications to this Agreement may be due to programmatic operational changes to support the agreement, legislative action, creation of an interstate aid and assistance agreement, or other developments. Modifications to this Agreement may be proposed by the Statewide Committee. The Statewide Committee Chair shall provide written notice to all Members of proposed modifications to this Agreement together with a written ballot allowing Members to vote for or against the proposed modification. A proposed modification shall become effective only if it is approved by written vote of at least a majority of the Members. Approved modifications shall take effect 60 days after the date upon which notice of the approved modification is sent to the Members. ARTICLE XVIII. SEVERABILITY The parties agree that if any term or provision of this Agreement is declared by a court of competent jurisdiction to be illegal or in conflict with any law, the validity of the remaining terms and provisions shall not be affected, and the rights and obligations of the parties shall be construed and enforced as if the Agreement did not contain the particular term or provision held to be invalid. ARTICLE XIX. PRIOR AGREEMENTS This Agreement supersedes all prior Agreements between Members to the extent that such prior Agreements are inconsistent with this Agreement. 29 ARTICLE XX. PROHIBITION ON THIRD PARTIES AND ASSIGNMENT OF RIGHTSIDUTIES This Agreement is for the sole benefit of the Members and no person or entity shall have any rights under this Agreement as a third party beneficiary. Assignments of benefits and delegations of duties created by this Agreement are prohibited and shall be without effect. ARTICLEXXI. INTRASTATE AND INTERSTATE IOWARN MUTUAL AID AND ASSISTANCE PROGRAMS To the extent practicable, Members shall participate in Mutual Aid and Assistance activities conducted under the State of Iowa Mutual Aid and Assistance Program and the Interstate Emergency Management Assistance Compact (EMAC) as set forth in Chapter 29C, Iowa Code. Members may voluntarily agree to participate in an interstate mutual aid and assistance program for water and wastewater utilities through this Agreement if such a program is established. Now, therefore, in consideration of the covenants and obligations set forth in this Agreement, the Water and Wastewater Utility or other Agency listed here manifests its intent to be a Member of the IOWARN Mutual Aid and Assistance Program by executing this Agreement on this 7th day of April 2009. Water/Wastewater Utility or Agency: chael C. Van Milligen Title: Citv Manager City of Dubuque By: Title Please Print Name Approved •; fo farm and legality Attorney for Utility 1 412.E L tN tr]p>ltst__- Please Print Name 30 Part 3: SOP Sanitary and Unsanitary Conditions for Water Main Breaks and Repairs STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC. WATER MAIN BREAK) CONDITIONS THE CITY OF DUBTTJE Masterpiece on the Mississippi Water Department Standard Operating Procedure (SOP) For Sanitary and Unsanitary Conditions during Water Main Breaks & Repairs Dubuque bland Alt-ieeriea Ciq 111111 2007.2012.2013 2017*2019 Department: Water Department SOP No. & Version Date: 1 4/1/2020 Primary Department Contact: Water Department Manager) Water Distribution Supervisor) Secondary Contacts: Water Engineering Assistant) NEED TO KNOW INFORMATION The City is referencing the following for all "sanitary" and "unsanitary" conditions: • Iowa Main Break and Depressurization Guidance DNR Form 542-0535, dated August 2016 or Latest Edition w/Appendix 3 Modified • Iowa Department of Inspections & Appeals Guidance for Food Establishments during a Boil Water Order/Advisory • AWWA Standard C651-14 Disinfecting Water Mains • IOWARN Mutual Aid and Assistance Program Dated April 7,2009 Page Left Intentionally Blank Page 1 of 94 32 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS TABLE OF CONTENTS Page 2 of 94 33 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DNR Appendix 3 "Modified" (Main Break Types and Responses -Determines Condition Level) 5 Boil Water Advisory Situations (Determines Level IV Condition) 6 Communication Plan 7-8 Contacts (Water Department) 9 Roles & Responsibilities (Water Department) 10 Contacts (Additional Contact Group for Unsanitary Condition) 11 Contacts (General) 12 Sanitary Procedure (Water main break and/or loss of pressure) 13-14 Unsanitary Procedure (Level 1V Water Main Break) 15-16 Misc. Information 17 -REFERENCE MATERIAL- DNR Contacts 19-22 Iowa Main Break and Depressurization Guide (DNR) 23-26 Iowa Department of inspections & Appeals (Guidance for Food Establishments) 27-30 Bacterial Sampling Procedure (Water Main Break) 31-32 Call Forwarding Procedure (Directing calls to the Water Plant) 33 Phone Message Recording Instructions (For Water Plant) 33 Street Closures & Construction Alert Notifications Template & Examples 35-37 Event Debrief & Evaluation Template 39 Door Hanger Examples 41-44 Disinfecting Water Mains (AWWA Standard C651-14) 45-84 IOWARN (Mutual Aid and Assistance Agreement for the Iowa Water/WastewaterAgency Response Network-IOWARN) 85-94 Page 3 of 94 34 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Page Left Intentionally Blank Page 4 of 94 35 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DNR APPENDIX 3 (City of Dubuque modified) Appendix 3 Modified.: Main Break Types and Responses LEVEL I LEVEL II LEVEL III LEVEL IV Controlled Pipe Repair Without Depressurization Controlled Pipe Repair With Depressurization After Shutdown Without Opening the Pipe Controlled Pipe RepairWlth Depressurization After Shutdown With Opening of tt•q Pipe Uncontrolled Pipe Break with a Likelihood of Water Contamination or Loss of Sanitary Conditions During Repair Positive pressure maintained during the break Positive pressure maintained during the break Positive pressure maintained duringthe break Loss of pressure at the break site Positive pressure maintained during the repair Positive pressure maintained until controlled shut down - pressure maintained until repair site Is exposed and secured, Pipe is not opened Positive presstre maintained until controlled shutdown - pressure maintained until repair site is exposed and secured, Pipe is opened Loss of pressure during repair, uncontrolled shutdown, may be catastrophic event arfailure No signs of cortamiratlon or intrusion No signs of cortamiratlan or intrusion No signs of contamination orirtrusion Possible oractual corta minatlon or intrLSian Procedures Procedures Procedures Procedures Excavate to below break Excavate to below break Excavate to below break Document possible contamination Maintain trench water level betow break MairNaln trench water level below break Maintain trench water level below break Excavate to below break Clean and disinfect repalrsite and part Clean and disinfect repalrsite and parts Clean and disinfect repalrsite and parts - flush intotrench to clean Clean and disinfect repair site and pans -flush intotrenchm remove any contamination Repair under pressure (clamp orsieeve) Control shutdown - depressurize area to make the repair Control shutdown - depressurize area to make the repair Disinfect line if passible Flush Lind/ water is visually clear Flush to scour pipe with 3 pipe turnover if possible. Flush until water is visually clear Flush to scour pipe with 3pipe turnover If Flush until waterisvlsuallycfear Flush to scour pipe with 3 pipe turnover if if possible. flush until water is visually dear Check chlorine residuals upstream and downstream from break Check chlorine residuals upstream anddowrstream from break Check chlorine residuals upstream ard downstream from break Check chlorine residuals upstream and downstream from break Return the line to service Return the line to service Return the line toservice Return the line to service No boil water advisory Advise customers to flush their plumbing until dear. 1f the water Is not clear, use an alternativesource.alternative Advise customers to flush their plumbing until clear. If the water is notclear, use an source- Advise customers to f l ush their plumbinguntilclear- IF the water is not clear, use an alternative source. No bacteria sampling No boil or bottled water advisory unless potential contamination Identified A boil water advisory is recommended; usea bottled water advisory If elevated levels of nitrate, nitrite, or manganese A boil water advisory is required; use a bottled water advisory if elevated levels of nitrate, nitrite, or manganese No bacteria sampling unless potential contamination identified Bacteria sampling is recommended Bacteria sampling Is required Lift poll or bottled water advisory after absent bacteria results Lift hail or bottled water advisory after two consecutive sets of absent bacteria results * This sheet is a modified version of DNR Form 542.0535a3 dated OS/2019, "Appendix 3": Main Break Types and Res pans es Notes: Consult with your DNR Field Office with any questions. The DNR field office must be notified when an advisory is issued orlifted. 12/2019 kwl DNR Form S42-0S3Sa3 Page 5 of 94 36 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS BOIL WATER ADVISORY SITUATIONS Unsanitary Condition - Level IV Situations that may require a boil water advisory and bacterial sampling include: • Water main breaks with controlled pipe repair with depressurization after shutdown with opening the pipe or uncontrolled pipe break with a likelihood of water contamination or loss of sanitary conditions during repair. • No or low pressure in the distribution system and not contained (time or geographical area). • Situations where the source(s) or treatment facilities are interrupted or unusable, including power loss situations. • 5ituations where a tower or storage facility has been emptied, up to and including the column pipe. • Pressure losses located near a contaminant source, such as near a river crossing, feedlot, co -located with a sewer line break, etc. • Pressure losses located in an area with significant elevation differences. • Confirmed backflow or backsiphonage situation backflow or backsiphonage with bacterial contamination. If the backflow or backsiphonage situation is chemical or unknown, issue a "No Use" advisory instead. • Pressure losses located in an area with the potential to create a high hazard backflow incident. • Pressure losses where a high hazard business is located in affected area (boiler, funeral home, industry, etc.) • A situation where the minimum disinfectant residuals cannot be maintained in or around the impacted area. • Situations including high risk or vulnerable populations, such as a school, day care, hospital, nursing home, dialysis center, other medical facilities. • An inexperienced operator or individual dealing with the situation. Consult with the DNR Field Office to determine if sampling and a boil water advisory is necessary. Page 6 of 94 37 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS COMMUNICATION PLAN (Who gets notified and when) Refer to the DNR Form 542-0535, Main Break Types and Responses (Appendix 3 modified) (Referred to as DNR Form 'Appendix 3 modified" for the remainder of this document) Who gets notified: • The following may be notified based an the condition of the Level II, III, or IV event: External Communication Level InternaI Communication Level II III IV II III IV Residents 0 X X Water Plant X X X Business Entities 0 X X Water Distribution X X X Commercial Entities 0 X X W&RRC/LAB ❑ X X DNR Region 1 Office Level III - Notify by email Level IV - Notify by phone 0 X X Public Information Office 0 0 x City Health Department 0 X X City Fire Department 0 0 Z City Engineering 0 0 Z City Manager's Office 0 0 X Utility Billing ❑ X X X = Notification Required - See Means of Notification (Page 8) O = Optional Notification 2 = Notification depending on severity of the event Contact "DISPATCH" if water main break involves the Railroad Page 7 of 94 38 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS COMMUNICATION PLAN (Continued) Means of Notification: Notification shall be released via one or more of the following based on the most efficient means: RESIDENTS, BUSINESSES & COMMERCIAL ENTITIES 1. Door Hangers: (Except Vernon and Barrington Lakes) • Out of Service Notice to Flush Service Line: (Level 11 Sanitary Condition) o Example: limited shut dawn area approx. 25 to 50 properties walking distance • Boil Water Advisory: (Leve1111-1f situation meets IJNR Boil Water Advisory or Situation elevates to Level !V and Level IV) o Example: limited shut down area approx. 25 to 50 properties walking distance. • Boil Water Order: (Level IV DNR issued via the City) o Example: limited shut down area approx. 25 to 50 properties walking distance. • Lift of Boil Water Advisorv/Order: o (Issued to all areas under Boil Water Advisory/Order that received Advisory/Order Door Hanger) 2. Water Department Website: Level I, II, III & IV 3. Facebook and/or Twitter Feed: Level II, III & IV 4. News Release: Level IV condition released to TH and Water Dept. Website and Notify Me recipients. 5. CODE RED: Level IV RESIDENTS, BUSINESSES & COMMERCIAL ENTITIES (Vernon and Barrington Lakes) 1. Local Contact post to Vernon and Barrington Lakes Website and Facebook Posts: • Level II, III & IV. (Ex. HOA President of subdivision) 2. Post Entrance Signs: Level II, III & IV 3. News Release: Level IV 4. CODE RED: Level III, IV CITY DEPARTMENTS LEVELS I -III (Notifications shall be via WebQA) LEVEL IV (Notifications shall be via Web QA and via telephone to the Additional Contact Group) • For Level IV events, the Water Department shall provide updates to the following as often as feasible as to when service will most likely be restored: • Health services Department c:• Public Information Office o City Manager's Office DNR LEVELS III LEVEL IV (Notifications shall be via email) (Notifications shall be via email & phone) Page 8 of 94 39 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS CONTACTS (Water Department) Water Department Loss of Pressure and/or Water Main Break (Sanitary Condition Repair) (Per DNR Form "Appendix 3 modified" LEVELS I, II & III) Water Department Name Email Work Cell Home Dept. Manager Distribution Supervisor Water Plant Supervisor Engineering Assistant Distribution Foreman GIS Specialist Confidential clerk IMPORTANT NOTE: Any time a "Sanitary" condition elevates to an "Unsanitary" condition per DNR Form "Appendix 3 modified", Level IV; refer to the Additional Contact Group, Page 9 of 94 40 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ROLES & RESPONSIBILITIES (Water Department) Roles & Responsibilities for Water Department Staff During Water Main Breaks and Repairs ft all starts here: The Water Plant Operator on duty typically receives a phone call reporting a possi be water ,main break. The Operator then creates a WebaA Notification which is sent out to al I Water Department Staff via computer and/or phone describing the event if the event occurs after waking hours the , Operator will make a phone call to the first On -Call Distribution staff member, Plant Operator is always available to assist Distribution Staff and answer related phone calls. Item to note: The Roles and Responsibilities are typical guidelines. Depending on the level of the event and/or staff availah- ity, staff members maybe requi red to perform cross functional riles with other staff members. Level I & II Level 111 Level IV Dept. Manager Informed of event by WebOA Informed of event by WebOA and/or phone ill Supports Plant Operators and Distribution Staff Cornrouniotes with Water Plant Supervisor Communicates with City Manager If Boll Advisory Informed of event by WebOA and/or phone call Supports Plans Operators and Distribution Staff Comm ix icates with City Manager Coordinates EOC with Appropriate Staff Department spokesperson to Media 'Hater Plant Supervisor WebOA Notifications Supports Plant Operators WebOA Notifications Supports Plant Operators Communicates with Water Dist. Supervisor WebOA Notifications Supports Plant Operators Communicates with Water Dist. Supervisor Distribution Supervisor WebQA Notifications Supports Disc. F ore man and Dist. Staff Mapping and Record Support WebQA Notification Supports Distibatlore Foreman and DisL Staff Communicates with Dept. Manager Mapping and Record Support Proyi des support to Public Relations Officer WebQA Notifications Supports Distibutiorr Foreman and Dist. Staff Communicates with Dept. Manager Mappingand Record Support Provides supportto Public Rel aborts Officer Fogimeeri ng Assistant WebQA & Phone Notifications Traffic Control Notification WebOA & Phone Notifications PrONi des records support to Distribution Staff Provides support to Public Relations Officer Traffic Control Notfication WebQA & Phone Notifications Provides records support to Lp stribution Staff Pmvld es support to Public Relettono Officer I Traffic Control Notification Distribution Foreman Delegates and works with Staff for Event Coordinates procedures Informs Chain of Command Delegates & works with staff for Event Coorr notes procedures Reports to Distribution Supervisor Delegates & works with staff for Event Coordinates procedures Reports w Distribution Supervisor GIS Specialist WebQA & Phone Notifications Mapping& Records support Traffir Control Notification WebOA& Phone Notification5 Mapping & Records suppnrc Provides support to Public Relations Officer Traffic Control Notification WebQA & shone Notifications Mapping& Ream ds support Provides support to Public Relations Officer Traffic Control Notification Confidential Berk WebOA & Phone Notifications Water Dept. Web Page Update WebQA & Phone Notifications Water Dept. Web Page Update WebOA & Phone Notifications Water Dept. Web Page Update Page 10 of 94 41 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS CONTACTS (Additional Group) Additional Contact Group (Unsanitary Condition) Health Services Email Work Cell Home Public InformationJI.S. Comm./Call Center Work Cell Home Fire Department/Emergency Management Work Cell home Engineering Email Work Cell Home E W&WWR/Lab (Bacteria Sample Testing) Work Cell Home '07 Police Dispatch Work Dispatch (Emergency.) 563.589.4415 L DNR (Notify by email for Level ill and notify by email & phone for Level IV) * Notify within 24-hrs of Boil Water Advisory/Order. Notify when Advisory/Order is Liked. Manchester Field Office 563.92 /.2640 24-Hour Hotline (After Hours & Weekends) 515.725.8694 IOWARN - Iowa Water/Wastewater Agency Response Network (Provides a system of aid by water/wastewater utilities requiring emergency assistance from member utilities) IOWARNAdministration Iinfo@iowarn.org Page Hof 94 42 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS CONTACTS (General) Public Works (Support) Email Work Cell Home Emergency Communications Center INon-emergency-❑ispotch) 563.589.1415 IOWA ONE CALL (Utility Locates) Work IO WA ONE CALL 800.292.8989 Contractors Work Cell Iop Grade Excayati ng 563.816.9811 Ts chiggfrie Excavating 563.557.7450 Engineering Services Contacts Work In the went of Catastrophic Water Main Break or Treatment Plant Failure. Planning assistance Cell as necessary IIW Engineers 563.556.2464 Blackstone Environmental Work Cell enio r Project Manager) 319.331.1S 11 Senior Technical Consultant and Monogcrof lowo Operations] 515.473.0978 Page 12 of 94 43 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS SANITARY PROCEDURE (Water Main Break and/or Loss of Pressure) Initial Response Procedure (Sanitary Condition) (Distribution Identifying the Issue) (Per DNR Form "Appendix 3 modified" LEVELS I, II & III) • Water Plant Operations to contact Distribution first on -call crew member of possible water main break followed by issuance of a WebQA notice. • Distribution crew to locate the leak or repair area. Before any work commences, the affected area must be determined and isolated to the fewest number of customers and the least number of water mains by locating and operating the appropriate main valves while maintaining positive pressure in the system. • In the event of a need for excavation, Distribution crew must notify Iowa One Call for utility locations. • Once utility locations are clearly marked, carefully dig trench around break/repair area while dewatering the hole. Dig to a depth of 12" minimum below and around the perimeter of the pipe repair area. Water main must remain clean and free of trench water and debris until repair has been made. • Confirm that situation is not an "Unsanitary Condition". ff necessary, crew lead or supervisor shall determine the need to elevate the main break status to an Unsanitary Condition, LEVEL IV in which case refer to procedure for "Unsanitary Conditions". • Distribution crew lead or delegate to report to Operations at the Water Plant confirming main break status and possible shut down area based on probable valve closures. • Make repairs using standard practices • Return line to service. Continued next page Page 13 of 94 44 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS SANITARY PROCEDURE (Continued) Initial Response Sanitary Condition Procedure (Continued) (Distribution Identifying the Issue) (Per DNR Forrn "Appendix 3 modified" LEVELS I, II & III) • Main Flushing: All water mains within the area of the water main break/pressure loss should be thoroughly flushed following restoration of repair. Flushing will allow for a satisfactory chlorine residual throughout the affected area and should remove any contamination that may have infiltrated the water main. The recommended flushing velocity is at least 3.0 feet per second. Flush all dead-ends/branches in the repair area. • Sample water downstream and possibly upstream from impacted area making sure that at least a 0.3 mg/L free chlorine residual is maintained. • If Main break was classified as a Level III • Sampling: WRRC certified lab staff member, Water Distribution staff member or Water Treatment staff member to collect (1) coliform bacteria sample from the affected area. The sample shall be taken after checking chlorine residuals. If repair is completed after hours, then sample can be collected during the early morning hours of the next day. The sample collected must be stored in a cooler and taken to the WRRC Lab within 12 hours of collection and maintained at 10 C° and falling. • If Positive Bacteria sample: Follow Iowa Main Break and Depressurization Guidance DNR Form 542-0535, dated August 2016 or Latest Edition. (Re -test sample sites) Refer to the "Unsanitary Procedure" on next page. a. Level III: Contact Manchester DNR and City's Health Department. Indicate that the original site will be re -tested. Re -test at the Positive -Bacteria site. One sample only. If re -testis positive, contact Manchester DNR. Important Note: Any time a "SANITARY" condition elevates to an "UNSANITARY" condition per DNR Form "Appendix 3 modified", Level IV: refer to the "Unsanitary Procedure" on next page. Page 14 of 94 45 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS UNSANITARY PROCEDURE (Level IV Condition) Unsanitary Conditions (Main Break meeting DNR Form "Appendix 3 modified" LEVEL IV) 1. If onsite conditions have been determined to be Unsanitary or condition has elevated up from a "Sanitary Condition" to an "Unsanitary Condition" LEVEL IV. 2. In the event of a Loss of Sanitary Conditions, refer to the Additional Contact Group via Water Department Main Break Code -Red. The Department Manager or Secondary shall contact the City Manager to determine if initiation of EOC activation is required following latest edition of the Administrative Policy #: Partial or Limited Level of Activation. EOC team members are listed in the Additional Contact Group listing. 3. Command post staff {if required) shall report to EOC. 4. EOC Initial duties: A. Issue WebQA: Main Break/Boil Water Advisory notice including probable shut down area map. B. Assist with Media Notices and identifying at risk users i.e. schools, dialysis centers, hospitals, etc. See Health Services far full list. C. Assist with contacting outside contractors as necessary and locating parts, materials and supplies as requested by Command Post staff. D. If additional traffic control is required, contact Engineering staff member listed under additional contact group. 5. Notify affected area with red door hanger (Water Department Bail Water Advisory). If necessary also via method door knocking, reverse phone, news release, City social media channels or Code -Red phone notification assisted by Public Information Officer. 6. Distribution crew to locate shut off valves and isolate the break as soon as feasible. 7. Follow "Procedures" in DNR Form "Appendix 3 modified LEVEL IV (Unsanitary) S. Make repairs using standard practices. Continued next page Page 15 of 94 46 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS UNSANITARY PROCEDURE (Continued) Unsanitary Conditions (Continued) (Main Break meeting DNR Form "Appendix 3 modified" LEVEL IV) 9. Return the line to service. 10. Main flushing: All water mains within the area of the pressure loss should be thoroughly flushed following restoration of repair. Flushing will allow for a satisfactory chlorine residual throughout the affected area and should remove any contamination that may have infiltrated the water main, The recommended flushing velocity is at least 3.0 feet per second. Flush all dead-ends/branches in the repair area. 11. Sample water downstream and possibly upstream from impacted area making sure that at least a 0,3 mg/L free chlorine residual is maintained. 12. Sampling: WRRC certified lab staff member, Water Distribution staff member or Water Treatment staff member to collect (2) consecutive sets of coliform bacteria samples from the affected area. The first set shall be taken immediately after checking chlorine residuals. The second set of samples must be taken no sooner than 16 hours following the first sample set; and no more than 24 hours. The samples collected must be stored in a cooler and taken to the WRRC Lab within 12 hours of collection and maintained at 10 C° and falling. 13. Boil Water Advisory Lifted: Boil Water Advisory shall be lifted following (2) consecutive sets of "absent" coliform bacteria sample results. 14. If Positive Bacteria sample: Follow Iowa Main Break and Depressurization Guidance DNR Form 542-0535, dated August 2016 or Latest Edition. (Re -test sample sites) a. Contact Manchester DNR and City's Health Department. Indicate that the original site will be re- tested. Re -test at the Positive -Bacteria site. If re -test is positive, contact Manchester DNR, 15. Boil Water Advisory Lifted: Boil Water Advisory shall be lifted following (2) consecutive sets of "absent" coliform bacteria sample results. 16. Notify affected area with blue door hanger ( Water Department Boil Water Advisory is Lifted). If necessary also via method door knocking, reverse phone, press release, or Code -Red assisted by Public Information Officer. 17. Notify Additional Contact Group that "Boil Water Advisory is Lifted. 18. Conduct a Debriefing. Page 16 of 94 47 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS MISC PUBLIC INFORMATION MANAGEMENT • Assist Water Department with Affected Area Code -Red alerts as requested EQUIPMENT NEEDED • Personal Protective Equipment for City Staff • City Vehicles • Traffic Control: signs barricades, flaggers, etc. MATERIALS - PARTS — SUPPLIES • Municipal Service Center— Water Distribution, 925 Kerper Blvd. • J&R Supply — 220 Frentress Lake Rd, East Dubuque, IL 800.747.6501 INFORMATION RESOURCES • Maps — Municipal Service Center —Water Distribution, 925 Kerper Blvd. • GIS —Access from Municipal Service Center— Water Distribution, 925 Kerper Blvd. • Gty dots useful to the project, such as plans and recent project files are available in the Municipal Service Center —Water Distribution, 925 Kerper Blvd. Page 17 of 94 48 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Page Left Intentionally Blank Page 18of94 49 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC. WATER MAIN BREAK) CONDITIONS Iowa DNR Contacts Field Office 1 Staff 909 West Main Suite 4 Manchester, IA 52057 Phone # (563) 927-2640, Fax # (563) 927-2075 To e-mail staff use the following format: lirstname.lastname@dnr.iowa.gov Office Management Joe sanilippo, ext 302 Supervisor Ashley Sherrets, ext 307 Administrative Assistant LISa Meader, ext 301 Secretary Field Staff Amber 5auser, ext 309 Environmental Specialist Senior - Wastewater - Water Supply Torn McCarthy, ext 305 E rrii rOnmenta I Special Ist Senior -Flood Plains -Solid Waste Chad Kehrli, ext 315 Environmental Specialist - Solid Waste • Water supply Jessica Ragsdale, ext 312 Environmental Specialist - Animal Feeding Operations - Water Supply Brenda 5trekher, ext 303 EnvironmentaI Specialist - Air Quality - Scorn Water field Office #1— Manchester Brian Jergenson, ext 313 Environmental Specialist Senior - Animal Feeding Operations - UST/LUST Matt Calvert, ext 314 Environmental Specialist - UST/LUST - Wastewater - Water Supply Brett Meyers, ext 311 Environmental Spec tali st -Animal Feeding Operations • Storm Water • Wastewater Jeffery Schwiegohann, ext 304 Environmental Specialist - Wastewater • Water Supply Becky Ohrtm an, ext323 Program Planner -Source Water Protection Clark Ott ext 310 Erwirorime ntal Specialist Senior - Air Quality - Emergency Response -Storm Water Chris Reiner, ext 316 Environmental Specialist - Animal Feeding Operations -Solid Waste - Wastewater Janet Ott ext 306 Environmental Specialist - Flood Plains - Wastewater • Water Supply Michele Smith, ext 308 Environmental Specialist - Waste Water - Water Supply 1 staff 3/7/19 Page 19 of 94 50 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Iowa DNR Contacts (Continued) Directions to Field Office #1 This office is located on the west edge of Manchester on Main St. (H WY13f • directly across the street from the Casey's store on the north side of the street. 909 West Main Suite 4 Manchester, IA 52057 Phone p (5631 927-2640 Fax # (5611927-2075 W HOWARD 5T Z W 7yWN ST i w FAYEITE in )4AR10N ST w to N oonvios 5T MAFJON MPER cx+nrues sr LINCOLN Field Office 51 — Manchester 2 staff5/7/19 Page 20 of 94 51 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Iowa DNR Contacts (Continued) I[`WA W:PAK M FN 1 C 1 NAi L.IRAL RFSt31.11;['1s DON'T HESITATE. DON'T FORGET. DON'T WAIT UPDATE EMERGENCY RESPONSE PLANS NOW DNR'S 24/7 ENVIRONMENTAL EMERGENCY HOTLINE NUMBER CHANGES !LILY 1. Don't trait until you or your company need to report a spill, wastewater bypass, undelgnntind storage tank system release or failure, or water supply failure or violation ter the MIR. Please change the environmental hotline number on your emergency plans and documents now. the new number is 515-725-$694- WHO NEEDS TO CALL? Contact the Iowa Department of Natural Resources fur any of the hallowing situations as rut it as possible but no later than require.{ by law. 'The sooner you contact DNR staff, the more likely they can help you prevent additional risk to public health and safety, or damage to Irma': natural re,ourc.;- Changing July 1, 2015 DNR's 24-hour Environmental Hotline 515-725-8694 Emergency Situations that Must be Reported Time Limit to Report Chemical spills: Anyone manufacturing. storing. handling, transporting or disposing of a lazard•Within airs substance when a hazardous condition occurs. If in doubt, report it. 6 hours Manurereleases: Anyone storing, handling, transporting or hand applying manure from a con• finement feeding operation; on storing. handling, transporting or land•applying manure. process wastewater, open feedlot effluent. settled open feedlot effluent or settleable solids from an open feedlot operation who becomes aware of a release. within 6 hours Wastewater discharges: treatment facility owner or operators. Report when a bypass or upset occurs as a result of mechanical failure or acts beyond the control of the owner of operator. within 24 Iwuls Underground storage tank system failures: Owners and operators of UST systems must report to UNR within 24 hours the discovery of released regulated substances at the UST site or in the surrounding area, unusual operating conditions or monitoring results from a release detection method that Indicate a release may have occurred. Within 24 hours Ia hours if release creates a hazardous condition} Drinking water system notifications! Owners and operators of public drinking water systems roust report monitoring and maximum contaminant level i✓'ACL l violations and situations. In- cluding treatment or distribution system failure that "significantly increases the potential for drinking water rgntaminatipn' and other situations "with significant potential to have serious adverse effects an human health as a result of short-term exposure." Within 24 hours Complaints, Fish Kills and other environmental reporting: Anyone seeing a fish kill, someoneAs burning tires or other banned materials. or dumping materials where it shouldn't belong. Scion As Possible LUAD1NG IOWANS IN CARING IOIt.OUR NAIURAL RLSOURCI_S I WWW.IOWADNR.GOV Page 21 of 94 52 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Lon t wait until you're setting out the booms. Lhornge to 5 t 5- 775 6694 on all your plans now. MORE ABOUT SPILL REPORTING Spills must be reported by anyone manufacturing, stor- ing. handling, transporting or disposing of a hazardous substance when a hazardous condition oo u1 s. (M o see definitions.) How do I know if It's a hazardous condition? Report it if a hazardous substance such as an acid, heavy ureliL paint is invuivtd and it ]Ia+l}re pclend.al it, leave the properv• reach a water et the state (surface or groundwater) or can be detour f in Clean at Ile facility's lars:ndariet- Rrpurt it if there is a potential threat to health arid safety, or rirsl responder t fire department, Haz Mat publi.hrx1th and enweIsenLy mmlage0r21I111t_pun) lu die incident. Ite?ort releases that exceed a Federal Reportable Quantity to the National Response Censer or to the U G. Fri v ironmenl at I'retcsi ion 3. Spiry. Iowa DNR Contacts (Continued) DEFINITIONS "Hazardous Condition" means any situation In• arlvlltg the mien!, inn ninelO n1 milt i.11ile tpilingv. leakage, or release of a hazardous substance onto the laid, into a wafer of lire Stnlem Inc1t the al- mosphcrewlich, because of quantity, strength and toxicity of the hazardous substance, Its mobility in the environment and its persistence, creates an im mediate or potential danger to the public health or safety er to the environment. "Hazardous Substance" means any substance Or mixture of substance that presents a danger to the public health or safety and includes, but Is not limited to, a substance that is toxic, corrosive, or flammable. or that Is an irritant or that: In confine- ment. generates pressure through decomposition, treat, er other means. The following are examples of substances which. in sufficient quantity, may be haz- ardous: acids; alkalis; explosives; fertilizers; peaty metals such as chromium, arsenic, mercury, lead, and cadmium; industrial chemicals, paint thinners; paints: pesticides: petroleum products: poisons; radioactive materials; sludges; and organic solvents. "1lazardous substances" may include any hazardous •paste identified or listed by the administrator of the United States Environmental Protecting agency un- der the 5alid Waste Disposal Act as amended by the Resource Conservation and Recovery Act of 1970, or any toxic pollutant listed under section 30/ of the federal Water Pollution Control nit es amended to January 1. 1917, or any hazardous substancedesrg• Hated under Sedition 311 of the federal Water Pdlu- thon Control Act as amended to January 1, 19II, or arry hazardous niaterial designated by the secretary of transportation under the hazardous Materials Transports d in Act 149 CFR 172.101). ADDITIONAL INFORMATION Cowart the Iowa DNR's mains -if -Pk -eat 51S-7i5412[ll.Orcontact du ens inxunental field I:P-I- cc NOV your area at www.iowac r.gouPortalsichuluploads/falfo faclsheetpdf- Clip and keep. REQUIRED TIME LIMITS FOR REPORTING INCIDENTS Spill Reporting 6 hours Manure Release Reporting 6 hours Waste.. Wafer Hypassos 24 hours Drinking Water 24 hours (main break:;_ t iolationc, etc) Release from a UST system 24 hours (il release creates a hazardous 6 hour condition) EMERGENCY NUMBERS DNR 24/7 Spill Number; 515.725-S644 local Law Enforcement: I.Ihcal Fire Dept t-tinier: Page 22 of 94 53 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Iowa Main Break & Depressurization Guidance Iowa Main Break and Depressurization Guidance Any disruption in a water system that results i n a loss of positive pressure may allow contaminants to enter the system. This document is intended to provide guidance to public water supply owners and operators In evaluating and responding to pressure Toss situations rmm distribution system issues such as main breaks, valve repairs, or extreme Fire flows, and operational disruptions such as a pump failure, power outage, telemetry failure, source failure, or storage depletion. During a main break or other work that opens the system, the loss of positive pressure within the water system may allow disease -causing microorganisms from surrounding soil or groundwater to enter a distribution system pipe. The loss of pressure may also allow disease causing microorganisms and chemical contaminants to he drawn into the pipe through backsiphon age due to the pressure differences. In addition, during the process of repair, contamination of the system may occur If the pipe has been opened to the environment and has come into direct contact with groundwater, runoff, soil, or contamInants in the area of the repair. During any pressure loss situation, protection of public health and safety are the priority and primary concern. At the same time, it is important to minimize the disruption of water service to the customers. For this reason, boil water or bottled water advisories may be recommended or required while bacteriological sampling is completed so the repaired water main may be returned to service. It is critical that sanitary procedures are followed throughout the process of response, repair, and returning the line or system to service. AWWA Standard C651 For water main breaks, AWWA Standard C651-14 must be followed. The standard includes the following preventive and corrective measures to accomplish the repair in a sanitary manner: • Keep the new pipe, fittings, valves, etc. clean and dry (protected from contamination) • Prevent contaminants from entering the existing pipe by maintaining positive pressure as long as possible - until the pipe is fully exposed and the trench is dewatered to below the existing pipe • Inspect, clean, and disinfect (by spraying or swabbing with a 1% chlorine solution) alt exposed portion of the existing pipe, all materials used in the repair, and all tools used to make the repair • After repairs are complete, flush, measure chorine residuals, and collect bacteria samples if required AWWA Standard C651-14 is available for review at the DNR Field Offices and at the DNR Water Supply Engineering Office in Iles Moines. Ih may also he purchasiRd from the AW WA Store online, This standard includes specific practices for the repair of water main breaks and classifies breaks into four (4) categories listed below. Each category includes actions, recommendations, and requirements based on the contamination risk. Controlled pipe repair without depressurization: The repair activities are well controlled and positive pressure is maintained to the area of the break and at the site at all times. The repair site is exposed and the trench is adequately dewate red so that the repair site can be cleaned and disinfected. 1 hese are main breaks that are repaired with clamping devices while the main remains under pressure- See the flushing recommendations below. No bacteria sampling is recommended or required. A boil water or bottled water advisory is not recommended or required. Controlled pipe repair with depressurization offer shutdown without operrirrg the pipe, After the repair site has been exposed and secured from trench soil and water contamination the trench is adequately dewatered so that the repair site can be cleaned and disinfected), the water main is depressurized by a shutdown to complete the repair. The repair site should he cleaned and disinfected. See the flushing recommendations below. A boil water advisory and bacteria sampling are typically not warranted. In the case of potential contamination from a high hazard business in the affected area, consult with the DNR Held Office to determine if a bail water, bottled water, or alternative source advisory and bacteria or Other sampling may town rerxxnrrieuded Or required. 1 Page 23 of 94 54 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Iowa Main Break & Depressurization Guidance (Continued) Controlled pipe repair with depressurization after shutdown with opening the pipe: Aker the repair site has been exposed and secured from trench soil and water contamination (the trench is adequately dewatered so that the repair site can be cleaned and disinfected}, the water main is depressurized by a shutdown to complete the repair. The pipe has to be opened (cut into] so the interior surfaces of the water system are exposed. The existing pipe should be inspertPd and cleaned by flushing water Into the trench, where passible. The repair site must be accessible and the trench adequately dewatered so the repair site can be disinfected. All nesv pipe, valves, etc. must he disinfected before installation. See the flushing recommendations below. Bacteria sampling is recommended. A boil watei, bottled water or alternative source advisory is recommended if any contaminants could have entered the pipe. A boil water, bottled water, or alternative source advisory may be required if a high hazard business or high risk/vulnerable population is located in the affected area. Consult with your DNR Fiell Office for guidance. Uncontrolled pipe break with a likelihood of water contamination or loss of sanitary roaditiorrs during repair: When the existing main could not be protected or kept Free from coma mina bon (such as muddy trench water flowing into the break, a leaking sewer line, catastrophic pipe failure or blowout etc.) or when a controlled repair situation turns into a situation in which the internal pipe and water have become contaminated, then chlorination similar to that fora new main should be followed where practical. A boil water, bottled water or alternative source advisory, flushing, and bacterial sampling are required. Flushing In all situations, flushing is advised after the repairs are completed. Flushing is recommended to obtain three volumes of water turnover in the area of the repair. When the pipe has been depressurized, flushing should be at a velocity of at least 3 ft/sec or greater to scour the pipe In the area of the repair. If this is not practical, contact and consult with the DNR Field Office. In all cases, the water should be clear at the end of the flushing and normal chlorine residuals should obtained throughout the area that was depressurized. Properly dispose of chlorinated water used for disinfection a ndfor flushing. In all depressurized situations, advise customers in the impacted area io flush their internal plumbing after the repairs are completed. Customers should be advised not use colored water for drinking or cooking and to continue to flush their internal plumbing until thewater is clear. In all situations, the repaired line may he returned to service immediately after flushing. In situations where the pipe has been depressurized, issuance of boil water, bottled water or alternative source advisories and bacteria sampling following the guidance above is required when the repaired line is returned to service. Boil Water Bottled Water or Alternative Source Advisory Situations Pressure lass situotiwu that may require a hail water, bottled water or alternative source advisory and bacterial sampling include: • Water main breaks with controlled pipe repair with depressurization after shutdown with opening the pipe or uncontrolled pipe break with a likelihood of water contamination or loss of sanitary conditions during repair {see section above) • No or low pressure in the distribution system and not contained (time or geographical area) • Situations where the source(sl or treatment tac.11i ties are interrupted or unixahle, including power loss situations • Situations where a tower or storage facility has been emptied • Pressure bases located near a contaminant source, such as near a river crossing, feedlot, co -located with a sewer line break, etc. • Pressure bases located in an area with significant elevation differences • Confirmed backflow or backsiphonage situation backflow or backsiphon age situation with bacterial contamination. If the backflow or backsiphanage situation is chemical or unknown, issue a "No use advisory instead. • Pressure losses located in an area with the potential to create a high hazard backflow incident • Pressure losses where a high hazard business is located in affected area (boiler, funeral home, industry, etc.} • A situation where the minimum disinfectant residuals cannot be maintained in or around the impacted area 2 Page 24of 94 55 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Iowa Main Break & Depressurization Guidance (Continued) • Situations including high risk or vulnerable populations, such as a school, day care, hospital, nursing home, dialysis center, other medical Facilities • An inexperienced operator or individual from the water system dealing with the situation Consult with the DNR Field Office to determine if sampling and a boil water, bottled water or alternative source advisory is necessary. During normal business hours call the appropriate ONR Field Office to consult about sampling, boil water, bottled water and alternative advisories, and public notice. After hours, call the 24 hour emergency response hotline. If a boil water, bottled water, or alternative source advisory is required or recommended, determine: • The extent and method of distribution {door hanger, hand delivery, phone, press release, Code Red or other method) • The notification must include critical users {nursing homes. hospitals, schools, wet industries, etc.) • I he content of the notice There is no federally mandated language for boil water, bottled water and alternative source advisories. A[Hisory templates are included in Appendix 2. Consider the Following when issuing an advisory: • Systems with Nitrate above 7 mg/L or Nitrite above 0.7 mg/L at the SEP or in the distribution, must include language that infants must use an alternative source, such as bottled water, due to the potential to increase the nitrate or nitrite levels above the MCI with boiling. • Systems with manganese levels above 0.22 mg/L at the SEP or in the distribution system, must include language that infants must use an alternative source, such as bottled water, due to the potential Increase in manganese levels above the acute Health Advisory Level with boiling. • Systems with manganese levels above 0.7 mg/L at the SEP or in the distribution system, must include language that all persons use an alternative source, such as battled water, due to the potential increase in manganese levels above the acute Health Advisory Level with boiling. • Systems with colored water must use the alternative source language as manganese levels are elevated. • Systems that do not know their manganese levels, must use the alternative source language. Systems test nitrate once per year at a minimum and test nitrite if they have a risk of nitrification. These levels should he available to the operator. • If a backtlow or backsiphon age event has occurred, do not issue a boil water advisory as this will concentrate the chemical contamination. Instead, issue "No Use' advisory. • Determine if a water conservation advisory should be issued The advisory must remain in place until absent )clean) bacteria sample results are received. Bacteria Sarni:Ante The rninir.,urn number of samples to be collected and analyzed for total uoliform and chlorine re,itlual is based on the number of service osnnectians and the type of services in the area. See the information above for the explanation of high hazard service connections and high risk/vulnerable populations. The presence of high ha yard service connections or high risk/vulnerable populations may increase the number of bacteria samples that are needed. The number of samples is specified in the chart below for all water systems including consecutive systems (those that purchase water). For rural water systems, a minimum of 1 sample per every 5 miles of pipe depressurised is recommended, If this is not practical, consult with the ❑Nit field Office. Number of Servke Connections Impacted by the Depressurization Controlled Repair with Depressurization Minimum Number of Samples Recommended" Uncontrolled Pipe Break MinimumNumberoFSamples Required" 1-25 1 1+1or1+2"" 2.6-50 2 2. 2 51-100 3 3.3 3 Page 25 of 94 56 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Iowa Main Break & Depressurization Guidance (Continued) Number of Servk:e Connections Impacted by the Depressurization Controlled Repair with Depressurization Minimum Number of Samples Recommended' Uncontrolled Pipe Break Minimum Number of Samples Required" 101-500 4 4 r4 501— 2000 5 5+ 5 _ s2000 As directed by DNR As directed by DNR •Samples should be collected from each slide of the repaired break If flew direct on is uncertelnlunlmown or If It fs a looped lime. If The main is a deed -end line o is looped line that leis been isolated (valve closed in force water in one direction) and ffushed in one direction, then sample downstream of the repair. "These Ore the minimum number of samples required from the sane sample sites. Sadpks must be taken at least 16 hours apait, '"'If the water flow fs In one direction, take 1 sample downstream of the break, then another sample at the same location at least 16 hours later. hF it is a looped line and opened to how in ehher direct ion after the repair and flushing, collect the first sample downstream of the repair and Collect two samples, one on each Side of the repaired break, for the second sampling event at least 16 hours after the first sample. Chlorine residuals must be measured at the same locations in the distribution system where the bacteria samples were collected. DNR Field Office Notification and Contact Numbers The DNR Field Office must be notified as soon as practical but no later than 24 hours after discovery when any of the following occur: • A boil water, bottled water, alternative source or no use advisory is issued • A boil water, bottled water, alternative source or no use advisory is lifted • A loss of positive pressure occurs outside the area of isolation (a main break is isolated but a pressure loss occurs outside of this area) • There is a high risk or vulnerable population. such as a school, day care, hospital, nursing home, dialysis center, other medical facilities, in an area that has been depressurized • More than 255 of the system is depressurized FO1 (Manchester): 563-927-2640 H12 (Mason City): 641-424-4073 F03 (Spencer): 717-262-4177 After Hong, Emergency Response Hotline: 515-725-& 94 104 (Atlantic): 712-243.1934 I-U5 (Des Moines): 51S-225.026E 106 (Washington): 319-653-213S Documentation A water system is encouraged to document all water main breaks or pressure losses and the actions taken in a Water Main Break Log. See Appendix 1. Before you have a situation. develop a communication plan that includes: • public notice templates, • identification of critical users and their contact inivrmation, • identification of primary contacts, partners with trusted experts, and agencies, and • Identification of your Ioral inadia Including contact Information and after hours contact Information, See Appendix 2 for an example of a communication plan. It is recommended that a media contact be designated prior to a situation so all communication with the media is conducted with that designated person. Main break categories and response: The table in appendix 3 was developed to help guide operators in determining the category of the main break and the nece ssary respo nses. 4 Page 26 of 94 57 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC. WATER MAIN BREAK) CONDITIONS Iowa Department of Inspections & Appeals Guidance for Food Establishments during and after a Water Advisory 1. Whatisaboilwater advisory? a. A boil water advisory is issued by a public water system when there is concern that a problem with drinking water exists. All water used For drinking, preparing food. beverages, ice cubes, washing Fruits and vegetables, should be brought to a rolling boil For at least one minute for the length of time in the advisory) on a stove top, in an electric kettle, or in a microwave lin a microwave -safe container). 2. What is bottled water advisory? a. A bottled water advisory is issued by a public water system when boiling water From that system will concentrate the identified contaminate to a level that could cause a health concern. Only bottled water may be used for drinking, preparing food, beverages, ice cubes, washing Fruits and vegetables. 3. What is a do -not -use advisory? a. Ado -not -use advisory may be issued FFpublfc health is at risk horn contact or inha la of contaminants or toxins in the water. Do not use water From the contaminated water source. 4. Why is a water advisory issued. a. A water advisory is issued to protect the public from infectious agents such as bacteria or parasites) or other threats (such as chemicals) that could be or are known to be present in drinking water. S. What procedure should be used for a boll water advisory? a. Place water fn a clean and sanitized, heat-resfstantcontainer. b. Place container on a stove burner, electric kettle, or fn a microwave and bring the water to a rapid, rolling boil for at least one m in ute. c. If necessary, cool water by placing In another sanitized container and store the container in the refrigerator. 6. What should restaurant, supermarket and food setvke managers do? A food Facility manager for the "person -in -charge") Is responsible for conducting both the initial and ongoing assessments to ensure consistent compliance with food safety requirements. a. Assess food, water and ice in your facility effected by the advisory start date. b. Implement the appropriate emergency procedures outlined below or rernaln closed until disinfection of contaminated items occurs and boil water advisory is lifted. c. Immediately discontinue operations IF a safe operation cannot be maintained using alternative procedures. d. Follow all requirements For Flushing lines and thoroughly clea n and sanitize all food contact surfaces Prior to resuming normal operations. 7. What should food establishments do to address a current boil water order? The following are temporary alternative procedures that can be taken to address specific impacted food operations during a biological contamination of the water supply (boil water advisory}. Where 'boiled" water is indicated, the water must remain at a roiling boil for at least one minute. Large volumes of water should be brought to a rolling boil for at least three to five minutes. Although chemicals (e.g., bleach) are sometirnes used for disinfecting small amounts of household drinking water, chemical disinfection is not an option for food establishments because of the lack of on -site equipment for testing chemical residuals. page 1 a Page 27 of 94 58 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC. WATER MAIN BREAK) CONDITIONS Iowa Department of Inspections & Appeals (Continued) 3. what are alternative sources of drin king water? a. Comme rc!ally -bat [I ed wa ter b. Haul water from an approved public water supply in a rovered sanitized coma iner. C. Arrange to use a licensed potable drinking water tanker truck. 9. What should be done about beverages made with piped -in water —including post -mix carbonated beverages, auto-f ill coffee makers, instant hot water dispenser, juice, tea, etc.? Discontinue use of post -mix carbonated beverage machine, auto -fill coffee makers, instant hot water heaters, etc- using auto -fill- Remove and replace any filters that may have been connected to water lines- 10. What should be done about ice? a. Discard existing ice. Do not use ice made during a water advisory. b. Discontinue routine methods of making ice until boil water order Is lifted. c. Use commercially -manufactured ice from an approved water supply. 11. What about food products requiring water? a. Discard any ready -to -eat food prepared with water prior to the advisory or incident b. Prepare ready-to•eatfcod using com merci a fly bottled or boiled water. 12. What alter natives are there for wastring/soaking produce? a. Do not use tap water for washing/soaking produce. b. Use pre -washed packaged produce. c. use frozen/canned fruits and vegetables. d. Wash fresh produce with boiled, commercially bottled water, or safe potable water hauled from an approved public wa ter su ppfy system. 13. Can tap water be used to thaw frozen foods? a. Do not use tap water to thaw frozen foods. b. Thaw only in the refrigerator. or microwave as part of the cooking process. 14. Can we continue to use the reverse osmosis system? a. No because reverse -osmosis systems are not intended to kill bacteria or viruses which may cause disease. 15. Can tap water be used when cooking food? a. use noma rnially-battled water. b. Use water that has been at a rolling boil for at least three minutes. C. Haul water from an approved public water supply in a warred sanitized container. d. Arrange to use a licensed drinking water tanker truck. 16. Can tap water be used by employees of a food establishment for handwashing? it, The best practice is to use only boiled. bottled*, treated water for handwashrng. b. If that is not possible, and handwashing is done with soap and tap water, you must thoroughly dry your hands with paper towels and then use a hard sanitizes. C. Asa reminder -- food handlers must NOT touch ready to eat foods with bare hands. Instead they should use physical barriers, such as disposable papers. gloves and utensils. 17. Can patrons use tap water in the rest rooms during a boil water order? a- Patrons may use tapwe ter for handwashing provided that hand sanitiaer is made available as each sink. b. Post a notice advising patrons not to use tap water for drinking or for brushing teeth. Page 2 of 4 Page 28 of 94 59 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC. WATER MAIN BREAK) CONDITIONS Iowa Department of Inspections & Appeals (Continued) 18. can spray -misting units be used? a. Spray-mIsting units used to spray produce, seafood, meat cases, etc- cannot be used. • Discard any foods exposed to misters after the advisory was Issued or any that may have been exposed to contaminated water prior to the advisory- c. Discontinue use of misters until boil water is lifted. 19. What about cleaning end sanitizing utensils and tabkware? a. Use disposable, single -service utensils and tableware- b. High -temperature dishwashing machines during a bottled water or do -not -use advisory: During these advisories the waver source connected to a dish machine is not safe ro use. t. High -temperature dishwashing machines connected to the city water during a boil advisory when a water pora.site is nor a concern: High -temperature sanitising commercial -grade dish machines may be used in accordance with the manufacturer specifications listed on the dish machine data plate. High -temperature rnmmerrial dishwashing machines connected to the city water supply during a boil advisory when a water parasite it a concern: i- Dish machine rinse cycle must be a minimum of 16S'F fora stationary rack, and a minimum of 1S0°F for all other machines, and run continuously for at least one minute holding at a temperature of at least 162°F. If this cannot be verified, then: 1. Dish machine can be run according to manufacturer's specifications listed an the machine's data plate and followed upwith a manual sanitizer step in an additional sink compartment 2. Sink compartment must be large enough to completely submerge the largest utensil or other item to be sanitized, and 3. The manual sanitiring step must occur with potable water from an Iowa Department of Natural Resources{ONR}•approved source or boiled and cooled water (from the municipal water source), and 4. Sanitizer levels must be 100ppm for chlorine, 200ppm for quaternary ammonium, or 2Sppm for iodine. and 3. Senitizer must be in contact with the completely submerged utensils for a minimum of one minute. d. e. High -temperature sanWring commercJai grade dish machine connected directly to on outside DNR-approved potable waFe, salrrte may be used according to the specifications listed on the dish machine data plate. T. Low -temperature {chemical sanitizing) dish machine connected to the city water during a water advisory: Low -temperature (chemical sanitizing} dish machines are not allowed to be used duringa boil advisory, a bottled water advisory, or a do -not -use advisory- Sanitlzers may not be effective against eliminating parasites, toxins. and viruses that could be present in contaminated water. iI. Utensils must be manually washed, rinsed, and sanitized in water that was boiled and cooled. tow -temperature {chemical sanitizing} commercial- grade dish machine connected directly to an outside DNR• approved potable water source may be used according to the specifications listed on the dish machine data plate. h. three -compartment sinks during boil advisory: i. Sink basins should be in led using only water that has been boiled as required or is from a potable water source (I.e. bottled water). I. The three -compartment sink method of cleaning can then be utilized with verification that the sanitizer in the third compartment Is at the proper concentration. L Three•campartment sinks during bottled water or do -not -consume advisory! i. Sink basins should only be filled with bottled water or potable water from a source approved by the Iowa DNR. 8• Page 3 of 4 Page 29 of 94 60 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC. WATER MAIN BREAK) CONDITIONS Iowa Department of Inspections & Appeals (Continued) What to do AFTER a Water Advisory Is lifted (misetcPoN.t= 51rr$81 Flash Duthie buildings water pipes to ensure they cootie safe water prim to owl. To do en. cum on one hot water lap and let It nm untt the water I3 091d. This will dram the hot water heater and refill it with sate water. Men W m en doe told a etel taps. Meets. fwntAns. shower heads etc and ler rhem tun ler 5 entnUtes Clean faucet semen: an* ana:eis an JI. faucets and ,e, ,, ) �tJ taps. Replace all'n ate l ll l'e If 0e112/2019 Flush. clean. and sanitize water knee on equipment such as beverage machines_ coffee machines_ and ice mansion with clean water. Use Clean rioter to make one batch dice in 'our ice maker and then dump the batch. t , Clean and Ss. ltiO ill bee pnparadon suction, dispensing vnalpaleal, aid warts and In Islam 20. After the water advisory is lifted. complete the following procedures with an approved water source: a. Flush all pipes and faucets. b. Coldwater lines and faucets: i, Oefore using the water line for drinking, making ice cubes, food preparation etc., make sure it is safe to use and rJear from any forms of contamination. il. Open all cold water lines such as faucets, fountains, showers and water taps and run them for at least five minutes. d. Hot water lines and faucets: Turn all faucets to hot water and let it run to flush pipes until the water comes out cold; the bigger the water tank the longer it is needed to flush the water lines. d. Run water softeners through a generation cycle. e. Thoroughly dean and sanitize all sinks before resuming use. f. Discard ice in ice machines that was produced with water during the water advisory. g. Flush, clean, and sanitize ail equipment connected to water lines according to the manufacturers' instructions. This includes but is not limited to beverage -dispensing machines, ice machines, glass washers, dishwashers, spray misters, lifters, coffee/tea urns, etc, i. follow the equipment instruction manual on how to disinfect or clean the machine or piece of equipment. if. Replace water filters, water cartridges, faucet screens and aerators on all taps used as water treatment and filtration devices. When in doubt, it i5 always best to clean, sanitize and disinfect any of these devices before using water again. iii. Contact beverage distributor for post -mix machine cleaning instructions. h. Flush drinking fountains or produce misters by running water cant nuously for at least five minutes. i. Run the empty dishwasher through the wash -rinse -sanitize cycle at least three times to flush the water lines and assure that the dishwasher is cleaned and sanitised Inside before washing dishes and utensils in it .. Consult manufacturer instructions or contact product representative if further instructions are needed. k. For chemical sanitizing machines, use approved test kit to ensure appropriate sanitixer strength has been reached. I. For high -temperature machines, the hot water temperature must reach 180'F. m. Alter completing Step 4 above, use dish washer to wash and sanitize any dirty dishes remaining since closure. n. After completing the above procedures, notify your health inspector before resuming food operations. For more information, please cull the Department of Inspections and Appeals et 515.251.653.b. Page a of 4 Page 30 of 94 61 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Water Main Break Bacteria Sampling Procedure City of Dubuque Water Main Break Bacterial Sampling Procedure Proper Bacterial Sampling Technique for Drinking Water Sample Collection: The following procedure is to ensure that the sample is representative of the drinking water quality in the distribution system, and not the result of a drinking water sample improperly collected. 1. Be sure that you have the correct sample bottle for coliform bacterial sample analysis. The sample bottle must contain sodium thiosulfate if the water is chlorinated. Use sterile 120 mL (with 100 mL graduation) IDEXX bottles or similar. 2. Avoid collecting a sample from the following locations: a. Faucets with aerator screen, hose, sprayer or strainer attached b. Are connected to a water treatment device c. Swivel "bar type/swing arm" faucets d. Frost -proof hydrants e. Sprinkler systems for fire protection f. Meter pits g. Fire hydrants, blow -offs, or clean -outs h. Taps that are leaking at any point, cracked, worn or otherwise in disrepair i. Taps that are dirty j. Taps located after in -home filters, softeners or other in -home treatment units k. Motion sensing/touch free faucets 3. Collect the sample using the following procedure: a. Remove any hose attachments, aerator, or "screen" on the end of the faucet or tap b. Ensure that the faucet or tap itself is clean from contamination c. Open cold water tap to obtain a smooth flowing stream at a moderate pressure d. Allow water to run to waste for at least 5-minutes and until 0.3 mg/L free chlorine residual is achieved; Issue Boil Water Advisory of 0.3 mg/L free chlorine residual cannot be maintained around the impacted area. e. Reduce water flow slightly (about a pencil width); ensure that the water does not splash; do not adjust the flow while sampling f. Put on gloves (disposable nitrile, latex, or vinyl) g. Remove the cap, do not rinse out the bottle; do not touch the inside of cap or the lip or inside of the bottle; do not set the cap down h. Fill the bottle to within 1V2 inch of the top or just above the 100-mL line on the sample bottle i. Remove the bottle from the stream of water and immediately replace cap. Dan not over -tighten the cap or it may split. Page 31 of 94 62 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Water Main Break Bacteria Sampling Procedure (Continued) j. Fill out lab sheet and be sure to include PWSID It, sample date, time, location, collector, type of sample (sample type for main break will be "Special") and free and total chlorine residuals. k. Place sample in cooler far transport to lab (cooling is recommended but not required for drinking water samples) I. Upon arrival at lab, transfer custody of sample to lab technician. If lab technician is not on site: Call control room for assistance at 589-4330. m. Request sample results to be submitted to both Water Plant and Water Distribution. Number of Samples Required (per DNR Form 542-0535) The minimum number of samples to be collected and analyzed for total coliforrn and chlorine residual is based on the number of service connections and the type of services in the area. See the information above for the explanation of high hazard service connections and high risk/vulnerable populations. The presence of high hazard service connections or high risk/vulnerable populations may increase the number of bacteria samples that are needed. The number of samples is specified in the chart below for all water systems including consecutive systems (those that purchase water). For rural water systems, a minimum of 1 sample per every 5 miles of pipe depressurized is recommended. If this is not practical, consult with the DNR Field Office. Number of Service Connections Impacted by the Depressurization Controlled Repair with Depressurization Minimum Number of Samples Recommended* Uncontrolled Pipe Break Minimum Number or Samples Required** 1-25 1 1+lor1+2*** 26-50 2 2+2 51-100 3 3+3 101-500 4 4+4 501-2000 5 5+5 2000 As directed by DNR As directed by DNR *Samples should be collected from each side of the repaired break if flow direction is uncertain/unknown or if it is a looped line. If the main is a dead-end line or a looped line that has been isolated (valve closed to force water in one direction) and flushed in one direction, then sample downstream of the repair. **These are the minimum number of samples required from the same sample sites. Samples must be taken at least 16 hours apart. ***If the water flow is in one direction, take 1 sample downstream of the break, then another sample at the same location at least 16 hours later. If it is a looped line and opened to flow in either direction after the repair and flushing, collect the first sample downstream of the repair and collect two samples, one on each side of the repaired break, for the second sampling event at least 16 hours after the first sample. Chlorine residuals must be measured at the same locations in the distribution system where the bacteria samples were collected. Page 32 of 94 63 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Call Forwarding Procedure Phone Message Recording Instructions Page 33 of 94 64 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Page Left Intentionally Blank Page 34of 94 65 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Street Closures & Construction Alert Notifications News Flash: News nu ur rrvi u i y- txampre: Title: Main Street Lane Closure Between 17th and 15th Streets Lead In: The southbound lane of Main St. will be closed between 13th St. and 141h St. for private utility repair from 8 a.m. to approx. 5 p.m. on Tuesday, Dec. 11. Full Text: Click here to see a map of the closure/detour. A map of all current road closures and detours is available at www.cityofdubuque.orgldetours. If you have questions regarding this closure/detour, please contact the City of Dubuque Engineering Department at 563-589- 4279. Please note that closure dates/times are estimates and are subject to change without notification based on weather and contractor schedules. Page 35 of 94 66 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Street Closures & Construction Alert Notifications (Continued) Ci►►icSend: Page 36 of 94 67 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Street Closures & Construction Alert Notifications (Continued) CivicSend Wording - Example: Main Street Lane Closure Between 131h & 141h Streets The southbound lane of Main St. will be closed between 13th St. and 14th St. for private utility repair from 8 a.m. to approx. 5 p.m. on Tuesday, Dec. 11. Click here to see a map of the closure/detour. A map of all current road closures and detours is available at www.cityofdubuque.org/detours. If you have questions regarding this closure/detour, please contact the City of Dubuque Engineering Department at 563-589-4270. Please note that closure dates/times are estimates and are subject to change without notification based on weather and contractor schedules. Adding a POF Map to the Document Center (optional): • Document Center is a CivicPlus module. (You can have multiple CivicPlus windows open at once, allowing you to be in more than one module.) • Find your folder • Select Add Documents • Rrnwaa to the PnF and mink Save and Piihlich Page 37 of 94 68 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Page Left Intentionally Blank Page 38 of 94 69 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Debrief Template Event Debrief and Evaluation Forrn Name of Event: Date of Event: Name: Organization: Responsibility: Attendance List: Name Name Name List or describe what you thought was successful or worked well in the area you were responsible for or involved in: List or describe what you thought was NOT successful ar did not work well in the area you were responsible far or involved in: List your actions/recommendations for improvement for future events for the area you were responsible for ar involved in: List or describe what you thought was successful or observed working welt in the whale event: Page 39 of 94 70 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Page Left Intentionally Blank Page 40 of 94 71 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Door Hanger (Boil Water Order) MORE INFO ON REVERSE • TEE arrQF sis WATER DEPARTMENT OIL WATER ORD water distri ' . system in this area is entry under repair. Atter it is back in service, teria samples will be collected and tested for tammation. This order is a PRECAUTION until terial sample results are received. You wilt be iTied when the results are available and the boil order is lifted. Until such time, please follow recommendations; • Do not drink tap water without baling first Bring water to bell, let boil for one minute, and f et it coat before drinking/using. For more information, please contact the City of Dubuque Water Department at 563-589-4291 or visit www.cityofduboque.org/water. Page 41 of 94 72 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Door Hanger (Boll Water Order -Backside) (Same flushing procedure on bock of all door hangers) FLUSHING WATER LINES hen water service is restored. there may be air in UT water piping and the water may be discolored. id doing laundry or using Scot water until your er pipes have been flushed. is recommended to run the first water from faucet that does not have an aerator screen. h as a bathtub or spigot/faucet located on the erlor of your home. n the faucet slowly to allow the au to escape. the water is flowing, allow the faucet to run ntil it is clear. The water may be cloudy at first to err in the water or particles that dislodged the pipes filled with (rater. This should clear irly quickly. mum this pets. water is cloudy throughout the house and it not clear alter allowing the water bo run -3 minutes, contact the City of partment at 563-589-429 Page 42 of 94 73 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Door Hanger (Boil Water Advisory) MORE INFO REVERSE Din WATER DEPARThi NT BOIL WATER ADVISORY City of Dubuque Water Department ommends that you boil your tap water ber eking or using for cooking, or use art altern er source, until you receive a sory is Lifted" notice. 0 water distr'ibuban system in this ntly under repair. Atter it is back in ra samples will be collected and tested for tam Mahan. This advisory is a 171ECAIT[1011 unt results are received. You will be notified w results are available and the boil water rfted. Until such time, please follow these mrnendations: Do not drink tap water wdhout Whin/first Bong water to bail, lef boil for one minute, and lei it coal before drinking/using. or visit www Para ei espaAol. ulsde www.crt ordtsbuque.urg.w;: Page 43 of 94 74 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Door Hanger (Boil Water Advisory or Order is Lifted) • MORE INFO ON REVERSE WATER DEPARTMENT BOIL WATER ADVISORY or ORDER is LIFTED This is a follow-up to the notification that a boil water advisory or order was in effect for this area due to repairs to the water distribution system. We are pleased to report that the work has been completed and water samples have been tested and results indicate NO CONTAMINATION. Me boil who adriyaryor order lot berm dfihdlcruxetrd It is no longer necessary to boil water before using. Thank you for your patience. Resources for mere Information: City of Dubuque Water Department 563-589-4291 wnwo.cityofdubudue.org/water This notice has been sent to you by the City of �._ Dubuque Water Department. Para el espanol. visrte www.crtyafdubuque.org!water �FtIf51Df: 3126052 Date Dishibuted. Page 44of 94 75 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CQNDITIONS American Water Works Association Dedreo[ed to the Worlds Most important Resource" AWWA Standard C651-14 ANSIIAWWA C651-14 (Revision of AN5l/ANIWA C651-05) AWWA Standard Disinfecting Water Mains Effective date: Feb. 1, 2015. First edition approved by AW WA Board of Directors Sept. 30, 1947. This edition approved June 8, 2014. Approved by American National Standards Institute Nov. 18, 2014. A. STANDARD ..d. W Sou? 1881 Ccppgnl ®2[n5 American Water Works Assoc-taaon AI wants Reserved Page 45 of 94 76 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) COND/TIONS AWWA Standard This document is an American Water Works Association (AWWA) standard. It is not a specification. AWWA standards describe minimum requirements and do not contain all of the engineering and administrative information normally contained in specifications. The AW WA standards usually contain options that must be evakuated by the user nF the standard. I]ntil each optional feature i5 specified by the user, the product or service is not fully defined. AWWA pub- lication of a standard does not constitute endorsement of any product or product type, nor does AWWA test, certify, or approve any product. The use of AWWA standards is entirely voluntary. This standard does not supersede or take precedence over or displace any applicable law. regulation. or codes of any governmental authority. AWWA standards are intended to represent a consensus of the water supply industry that the product described will provide satisfactory service. When AWWA revises or withdraws this standard an official notice of action will be placed in the Official Notice section of Journal • American Water Works Association. The action becomes effective on the first day of the month fol- lowing the month of journal - Amerltan Water Works Association publication of the official notice. American National Standard An American National Standard implies a consensus of those substantially concerned with its scope and provisions. An American National Standard is intended as a guide to aid the manufacturer, the consumer, and the general public. The existence of an American National Standard does not in any respect preclude anyone, whether that person has ap• prayed the standard or not, from manufacturing, marketing, purchasing, or using products. processes. or procedures not conforming to the standard. American National Standards are subject to periodic review, and users are cautioned to obtain the latest editions. Producers of goods made in conformity with an American National Standard are encour- aged to state on their own responsibility in advertising and promotional materials or on tags or labels that the goods are produced in conformity with particular American National Standards. Cwnorr Norrce= The American National Standards Institute (ANSI) approval date on the Front cover of this standard indicates completion of the ANSI approval process. This American National Standard maybe revised or withdrawn at any time. ANSI procedures require that action be taken to reaffirm, revise. or withdraw this standard no later than five years from the date of ANSI approval. Purchasers of American National Standards may receive current information on all standards by calling or writing the American National Standards Institute, 25 West 43rd Street, Fourth Floor, New York. NY 10036; 212.642.4900• or email ins info0tansi.org. ISBN-13, print: 978-1-62576-046-3 This AWWA content Is the product of thousands of hours of work by your fellow water professionals. Revenue from the sales of this AWWA motel -Lai supports ongoing product development. Unauthorized distribution, either electronic or photocopied, is illegal and hinders A W WA's mission to support the water community. eISBN-13, electronic; 978-1-61300-310-7 DOS http:7/dx.doi.org110.12949/AW WA.C651.14 All rights reserved. No part of this publication maybe reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopy, recording, or any information or retrieval system, except in the Farm of brief excerpts or quotations For review purposes. without the written permission of the publisher. Copyright 02015 by American Water Works Association Printed in uSA tl Copyright® 2015 American Water Works Association. Al Rights Reserved. Page 46of94 77 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Committee Personnel The AWWA Standards Committee on Disinkecrion of Facilities, which reviewed and approved this standard, had the Following personnel ar the rime of approval: Betsy Reilky, Chair Genera! Interest Members G. Boyd,' Standards Council Liaison, Cadmus Group, Seattle, Wash. (AWWA) K.C. Choquette, Consultant, Dcs Moincs, Iowa (AWWA) C.B. Hagar, Carollo Engineers, Phoenix. Ariz. (AWWA) J.M. Henderson, Consultant, Concord, Mass. (AWWA) P.J. OIsoit,' Standards Staff Liaison, AWWA, Denver, Colo. (AWWA) 5. Vidika, Dixon Engineering Inc., Medina, Ohio (AWWA) J.S. Wailes, Consultant, Black Hawk, Colo. (AWWA) 1 W. Walker, New York State Deparrmenc of Health. Victor, N.Y. (AWWA) M.L. Wentink, Nebraska DHHS Division of Public Health, North Platte, Neb. (AWWA) Producer Member R j. Gordhamer, Measurement Technologies Inc., Redmond, Wash. (AWWA) D.T. Hanson, Design Water Technologies, Shorewood, Minn. (AWWA) P.L. Smith, Smith LaSalle Inc., Western Springs, 111, (AWWA) User Members G.A. Burlingame, Philadelphia Water Department, Philadelphia, Penn. (AWWA) R.C. Lorenz, Westerville Water Plant, Westerville, Ohio (AWWA) P.M. Marchand, Bristol County Water Authority, Warren, R.I. (AWWA) B. Reilley, MWRA, Southborough, Mass. (AWWA) E.D. Schwartz, New Jersey American Water Company, Plainsboro, N.J. (AWWA) B.L. Whiueherry, Greater Cincinnati Water Works, Cincinnati, Ohio (AWWA) nonvoting Copyright ® 2015 Awencan Mier Works Association. All Rights Reserved. Page 47 of 94 78 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Thus page inrcntionally bank. Copyright m 2015 Amman Wailer Works Assoc atlon. WI Rgnts Reserved. Page 48 of 94 79 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Contents All AWWA standards follow the general format indicated subsequently. Some variation. from this format may be found in a particular standard SEC. PAGE Foreword 1 Introduction vii 1.A Background vii 1.13 History vii 1.0 Acceptance vii II Special Issues viii II.A Information on Application of This Standard viii 1II Use of This Standard xi II1.A Purchaser Options and Alternatives xi II1.B Modification to Standard xii IV Major Revisions xii V Comments xiii Standard 1 General 1.1 Scope 1 1.2 Purpose 1 1.3 Application 1 2 References 2 3 Definitions 2 4 Requirements 4.1 Forms of Chlorine for Disinfection 3 4.2 General Considerations for All Methods of Chlorination 4 4.3 Tabkt/Granule Method of Chlorination 5 v SEC. PAGE 4.4 Continuous -Feed Method of Chlorination 6 4.5 Slug Method of Chlorination 10 4.6 Spray Disinfection for Large Transmission Lines 11 4.7 Basic Disinfection Procedure for New Mains 11 4.8 Preventive artd Corrective Measures During New Construction ,12 4.9 Final Flushing for New Mains 14 4.10 Final Connections to Existing Mains 14 4.11 Disinfection Procedures When Cutting Imo or Repairing Existing Pipe 15 5 Verification 5.1 Bacteriological Tests 19 5.2 Optional Sampling and Testing 21 6 Delivery 21 Appenndixes A Chlorine Residual Testing 23 A.l DPD Drop Dilution Method (for Field Test) 23 A.2 High -Range Chlorine Test Kits 24 B Chlorine Dosages 25 Figures 1 Suggested Temporary Flushing/Testing Connection 7 Copyright m 2015 American Wafer Wor%s Association. MI Reyes Reserved. Page 49 of 94 80 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS SEC. PAGE SEC. 2 Suggested Combination Blowoff and Sampling Tap 9 Tables 1 Weight of Calcium Hypochlorite Granules to Be Placed at Beginning of Main and at Each 500-ft (150-m) Interval 5 2 Number of 5-g C'alrium Hypochlorite Tablets Required for Dose of 25 mgfL 6 3 Required Flow and Openings (Either Taps or Hydrants) to Flush Pipelines at 3.0 ft/sec (0.91 misec) (40 psi [276 kPaj Residual Pressure in Water Main) 7 PAGE 4 Chlorine Required to Produce an Initial 25-mg/L Concentration in 100 fr (30.5 m) of Pipe by Diameter 9 8.1 Amounts of Chemicals Required to Produce Various Chlorine Concentrations in 100,000 gal (378.5 m3) of Water 25 8.2 Amounts of Chemicals Required to Produce Chlorine Concentrations of 200 mL in Various Volumes of Water 25 vi Copyright m 2015 American Wales Wm%s Association. All FLghts Reserved. Page 50 of 94 81 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Foreword This foreword is for information only end is not a part afANSP/AWI A C651. I. Introduction. 1.A. Background. This standard describes methods of disinfecting newly constructed potable water mains; mains that have been removed from service for planned repairs or for maintenance that exposes them to contamination; mains that have undergone emergency repairs because of physical failure; and mains that, under normal operation, continua to show the presence ofcol iform organisms. The disinfecting agents discussed in this standard are chlorine solutions that may be derived from liquid chlorine (C12), cakium hypochlorite (Ca(OCI)2), or sodium hypochlorite (NaOC1). Combinations of free chlorine residual and contact time are provided. Chlorine dosage reference tables arc provided as appendix 8 of this standard. 1,B. History This standard was first approved an Sept. 30, 1947, by the AWWA Board of Directors and published as 7D.2-1948, A Procedure for Disinfecting Water Mains. Revisions were approved on Sept. 14, 1948; Mar. 6, 1953; May 27, 1954; June 2, 1968; and June 7, 1981. All were done under the designation ANSI/ AWWA C601, Standard for Disinfecting Water Mains. In 1986, the designation of the standard was changed to ANSI/AWWA C651, and the subsequent editions were approved on Jan. 26. 1986; June 18, 1992; June 20, 1999: and Jan. 16, 2005. This edition was approved on June 8, 2014, 1.C. Acceptance. In May 1985, the US Environmental Protection Agency (USEPA) entered into a cooperative agreement with a consortium led by NSF International (NSF) to develop voluntary third -party consensus standards and a certification program for directand indirect drinking water additives. Other members of the original consortium included the Water Research Foundation (formerly AwwaRF) and the Conference of State Health and Environmental Managers (COSHEM). The American Water Works Association (AWWA) and the Association of State Drinking WaterAdminisrrators (ASDWA) joined later. In the United States, aurhority to regulate products for use in, or in comer with, drinking water rests with individual stares t Local agencies may choose co impose requirements more stringent than those required by the stare. To evaluate the health • American National Standards Institute, 25 West 43rd Street, Fourth Floor, New York, NY 10036. t Persons outside the United Scares should contact the appropriate aurho&y having jurisdicrion. viI Copyright ®2015 American Water worts Association. MI Fegnts Reserved. Page 51 of 94 82 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS effects of products and drinking water additives from such products. state and local agencies may use various references, including 1. An advisory program formerly administered by USEPA, Office of Drinking Water, discontinued on Apr. 7, 1990. 2, Specific policies of the stare or local agency. 3. Two standards developed under the direction of NSF*; NSFIANSI 60, Drinking Water Treatment Chemicals —Health Effects, and NSF/ANSI 61, Drinking Water System Components —Health Effects. 4. Other references, including AWWA standards, Food Cbemiea. Codex, Water armloads Codex,t and other standards considered appropriate by the state or local agency. Various certification organizations may be involved in certifying products in accor- dance with NSF/ANSI 60. Individual states or local agencies have authority to accept or accredit certification organizations within their jurisdictions. Accreditation of certi- fication organizations may vary from jurisdiction to jurisdiction. Annex A, "Toxicology Review and Evaluation Procedures," m NSFIANSI 60 does not stipulate a maximum allowable level (MAL) of a contaminant for substances not regulated by a USEPA final maximum contaminant level (MCI). The MALS of an unspecified list of"unregulated contaminants" arc based on toxicity testing guidelines (noncarcinogen5) and risk characterisation methodology (carcinogens). Use of Annex A procedures may not always be identical, depending on the certifier. ANSIIAWWA C651 does not address additives requirements. Thus, users of this standard should consult the appropriate stare or local agency having jurisdiction in order to 1. Determine additives requirements including applicable standards. 2. Determine the status of certifications by parties offering to certify products for contact with, or treatment of, drinking water. 3. Determine current information on product certification. 11. Special Issues. 1I.A, Information on Application of This Standard. Generally, it is easier to disinfect a new main than one that has had emergency repairs in terms of access, sanitary control, and the time available for disinfection, sampling, and testing. • NSF International, 789 North Dinhero Road, Ann Arbor. M1 48105. 'Both publications available from National Academy of Sciences, 500 Fifth Street, NW, Washington, DC 20001. viii Copyright m 2D15 American Water Works Association. MI Rights Reserved. Page S2 of 94 83 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS For a new main, there is typically more time available for disinfection and test- ing since there is no immediate demand from customers. Given the often significant amount of rime and materials involved in a new water main project, careful disin- fection and testing of the main are reasonable and necessary to ensure public health protection. Conditions for pipe repair projects vary tremendously in terms of rbe site of rhe repair, the sanitary conditions, and the time constraints resulting from immediate cus- tomer demands. It should be noted if the line is depressurized or opened to the envi- ronment prior to or during repair, the sanitary integrity of the pipe is compromised and it is critical to follow sanitary procedures throughout the repair —not just as it is being returned to service. Crews responsible for the repair of mains should be aware of the potential health hazards and be trained ro carefully observe prescribed construction practices and disinfection procedures. Because of the differences berween initial installation and repair, the disinfec- tion requirements for each situation arc also different. The installation of new mains requires that rwo secs of samples for conform analysis are collected at least 16 hr apart, or two sets collected 15 min apart after at least a 16-hr rest period. For repaired mains that are depressurised andlor wholly or partially de -watered, one set of samples may be required, and depending on the sanitary conditions, the line maybe returned to service prior to the completion of bacteriological testing. For repaired mains that arc main- tained under pressurized conditions ar all times, bacteriological testing is not required When required, samples are now specified to he collected at least 16 hr apart, or 15 min apart afrer a 16-hr resr period. The purpose of this change is ro consider the balance between public health, improved rest methods, and timely work completion. This tuning is sufficient to allow bacrerial regrowth wirhin the line if rhere was a con- tamination problem and provides more flexibility in the scheduling of various work activities. Bacteriological tesdngin accordance with Sec. 5.1 is used ro verify the absence ofcoli- Form organisms and is generally accepted as verification that disinfection of the pipeline has been accomplished; and following sanitary practices for handling and installation of pipe, valves, fittings, and accessories, coupled with adequate flushing of the line before disinfection, is necessary to ensure the disinfected pipeline will be ready For connection to the water system. Failure to pass the hacreriological test requires thar the Hushing or disinfection process be repeated. It must be remembered that the final water quality test is not the primary means for certifying rhe sanirary condition of a main. The sanirary ix Copyright m 2D15 American Weler Works Association. Ali Rights Reserved. Page S3 of 94 84 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS handling of materials, the practices during construction. and the continual inspection of the work are the primary means for ensuring the sanitary condirion of the water main. Four methods of disinfecting newly constructed water mains are described in this standard: the tablet method, the continuous -feed method, the slug method, and the spray method. The utility should decide which of these methods is most suitable for a given situation. Facmrs no consider when choosing a method should include the length and diameter of the main, type of joints present, availability of materials, equipment required for disinfection, training of the personnel who will perform the disinfection, and safety concerns. For example, if gas chlorination is the chosen chemical when either continuous -feed or slug methods are being used, use only properly designed and constructed equipment: makeshift equipment is nor acceptable when liquid chlorine (gas) cylinders are used. Thorough consideration should be given ro nce impact of highly chlorinated warer flushed into the environment. If there is any question that damage may be caused by chlorinated -waste discharge (ro fish life, plant life, physical installations, or other downsrream warer uses of any rype), then an adequate amount of reducing agent should be applied to water being disposed of in order to thoroughly neutralize the chlorine residual remaining in the water, The tablet method cannot be used unless the main can be kept clean and dry. It cannot be used in large -diameter mains if it is necessary for a worker to enter the main to grout joints or perform inspection because the tablets may release toxic fumes after exposure to moist air. When using the tablet method, the chlorine concentration is not uniform throughout the main because she hypochlorire solution is dense and rends m concentrate at the bottom of the pipe. The use of the tablet method precludes prelimi- nary flushing. The tablet method is convenient to use in mains having diameters up ro 24 in. (600 mm), and it requires no special equipment. The continuous -feed method is suitable for general application. Preliminary flush- ing removes light particulates from the main bur not from the pipe -joint spaces. The chlorine concentration is uniform throughout the main. the slug method is suitable for use in large -diameter mains where the volumc of water makes the continuous -feed method impracrical and difficult to achieve for short attachments. `The slug method results in appreciable savings of chemicals used to disinfect long large -diameter mains. Also, this method reduces the volume of heavily chlorinated water to be flushed to waste. x Copyright m 2015 American Water Works Association. A1I Flights Reserved. Page 54of 94 85 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS The spray method is suitable for use in large -diameter transmission lines where spray equipment can be used to disinfect all surfaces of the pipe. This method reduces the volume of heavily chlorinated water to be flushed to waste. The purpose of all four rhlorinarion methods is to disinfect water lines, resulting in an absence of coliforms as confirmed by laboratory analysis. As noted above, the four methods attempt ro provide flexibility in responding ro specific situations. The tablet and continuous -feed methods both have initial chlorine concentrations of 25 mg/L and a minimum contact time of 24 hr. Because the tablet method cannot be flushed and cleaned prior to disinfection, the required free chlorine residual must be detectable (0.2 mg/L) after 24 hr. Because the continuous -feed method can he used to flush particles, a higher free chlorine residual of 10 mg/L is required after 24 hr. To meet the needs of situations requiring reduced contact times, the slug method allows only a 3-hr contact rime bus requires a 100-mg/L initial chlorine dosage. For larger transmis- sion Iines, spray disinfecrion using 200 mg/L free chlorine may be a suitable option, minimizing discharges of highly chlorinated water. While the contact times of rhe methods may nor be identical, the end result, absence of coliforms, is the same for all four methods. Disinfectants other than chlorine may be appropriate to use. Although this stan- dard describes only the use of liquid chlorine (gas), sodium hypochlorite solutions, and calcium hypochloritc, the applicability of other disinfectants should be evaluated. Ozone and chemical cleaners have been used, and these warrant further investiga- tion. Whichever disinfectant or method is selected, approval from the local regulatory agency may be required. III. Use of This Standard. It is the responsibility of the user of an AWWA standard ro determine chat the products described in Char standard are suitable for use in the particular application being considered. 1Il.A. Purchaser Options and Alternatives. This standard is written as though the disinfection work will be performed by the purchasers personnel. Where the work is to be performed using a separate contract or as pan of a contract for installing mains; appropriate provisions should be included in she purchase documents to ensure that rhe constructor is specifically instructed as to its responsibilities. The following information should be provided by the purchaser. ` Refer ro other AWWA standards and manuals far design criteria and installation procedures far vari- ous pipe materials. xi Copyright t 2D15 American Water Works Association. MI Rights Reserved. Page S5 of 94 86 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 1. Srandard used— thar is, ANS1IAW WA C651, Standard for Disinfection of Water Mains, of latest revision. 2. Approval requirements before use. 3. Those procedures included in the standard that are designated as optional, that are ro be included in the purchase documents. 4. Whether compliance with NSFIANSI 60, Drinking Water Chemicals — Health Effects, is required. 5. Whether compliance with NSF/ANSI 61, Drinking Water System Components —Health Effects, is required. 6. Details of other federal, state or provincial, and local requirements (Section 4). 7. Form of chlorine to be used (Sec. 4.1.1. 4.I.2. and 4.1.3). 8. Method of chlorination (Sec. 4.3,4.4, 4.5. and 4.6). 9. Flushing locations, rates of flushing, and locations of drainage facilities (Sec. 4.4.2, 4.9.1, and 4.9.2). 10. Responsibility for tapping existing mains and connecrions to new mains (Sec. 4.4.3[1], 4.4.3[2j, and 4.10). 11. The number and frequency of samples for bacteriological tests (Sec. 5.1.1, 5.1.2, and 5.2). 12. Method of taking samples (Sec. 5.1.3). 111.B. Modification to Standard. Any modification of the provisions, definitions, or terminology in this standard muse be provided by the purchaser. IV. Major Heriaions. Major revisions made to the standard in this edition include the following: 1. Clarified differences in the requirernents between new and repaired mains (foreword II.A, Sec. 1.1, and 4.11). 2. Changed the requiremenr for bacteriological sampling in new mains from two sets of samples 24 hr apart to add two options for rwo sets of samples; Option A samples are 16 hr apart, and Option B samples are 15 min apart after a 16-hr rest period (foreword II.A and Sec. 5.1). 3. The flushing rate of 2.5 ft/sec has been increased to 3.0 ft/sec fora scour flush based on resting performed under Water Research Foundation Project No. 4307. which indicates the threshold velocity of 2.5 to 3.0 frlsec for successful flushing (2.5- to 3.0-log removal) of sand particles. Since this is a rhreshold velocity, 3.0 ft/sec was chosen for the standard (Sec. 4.4.2 and Table 3). 4. Added spray disinfection method for large transmission mains (Sec. 4.6). xii Copyright m 2D15 American Weler Works Association. MI FLghts Reserved. Page 56 of 94 87 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 1. Srandard used— thar is, ANS1IAW WA C651, Standard for Disinfection of Water Mains, of latest revision. 2. Approval requirements before use. 3. Those procedures included in the standard that are designated as optional, that are ro be included in the purchase documents. 4. Whether compliance with NSFIANSI 60, Drinking Water Chemicals — Health Effects, is required. 5. Whether compliance with NSF/ANSI 61, Drinking Water System Components —Health Effects, is required. 6. Details of other federal, state or provincial, and local requirements (Section 4). 7. Form of chlorine to be used (Sec. 4.1.1. 4.I.2. and 4.1.3). 8. Method of chlorination (Sec. 4.3,4.4, 4.5. and 4.6). 9. Flushing locations, rates of flushing, and locations of drainage facilities (Sec. 4.4.2, 4.9.1, and 4.9.2). 10. Responsibility for tapping existing mains and connecrions to new mains (Sec. 4.4.3[1], 4.4.3[2j, and 4.10). 11. The number and frequency of samples for bacteriological tests (Sec. 5.1.1, 5.1.2, and 5.2). 12. Method of taking samples (Sec. 5.1.3). 111.B. Modification to Standard. Any modification of the provisions, definitions, or terminology in this standard muse be provided by the purchaser. IV. Major Heriaions. Major revisions made to the standard in this edition include the following: 1. Clarified differences in the requirernents between new and repaired mains (foreword II.A, Sec. 1.1, and 4.11). 2. Changed the requiremenr for bacteriological sampling in new mains from two sets of samples 24 hr apart to add two options for rwo sets of samples; Option A samples are 16 hr apart, and Option B samples are 15 min apart after a 16-hr rest period (foreword II.A and Sec. 5.1). 3. The flushing rate of 2.5 ft/sec has been increased to 3.0 ft/sec fora scour flush based on resting performed under Water Research Foundation Project No. 4307. which indicates the threshold velocity of 2.5 to 3.0 frlsec for successful flushing (2.5- to 3.0-log removal) of sand particles. Since this is a rhreshold velocity, 3.0 ft/sec was chosen for the standard (Sec. 4.4.2 and Table 3). 4. Added spray disinfection method for large transmission mains (Sec. 4.6). xii Copyright m 2D15 American Weler Works Association. MI FLghts Reserved. Page S7 of 94 88 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Thus page inrcntionally bank. Copyright t 2015 An encan Wailer Works Assoc atlon. WI Rgnts Reserved. Page SSof94 89 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ANS1/AWWA C651-14 (Revision of ANSI/AWWA C651-05) American Water Works Association Dediroted to the World's Most Important Resource" Disinfecting Water Mains AWWA Standard SECTION 1: GENERAL Sec.I.1 Scope This standard describes essential procedures for the disinfection of new and repaired potable water mains. New water mains shall be disinfected before they are placed in service. Water mains taken out of service for inspection, repair, or other activities may or may not require disinfection and sampling, depending on the risk of contamination. This standard describes the process for evaivaring the risk under different conditions. Sec. 1.2 Purpose The purpose of this standard is to define the minimum requirements for the disinfection of -water mains, including the preparation of water mains, application of chlorine, and sampling and testing for the presence of coliform bacteria. Sec. 1.3 Application This standard can be referenced in the purchase documents for the disinfection aware'. mains and can be used as a guide for the preparation of waresmains, applica- tion of chlorine, and sampling and testing for the presence of conform bacteria. The stipulations of this standard apply when this document has been refs c =ced and only to the disinfection of water mains. 1 Copyright m 2D15 American Weter Wor%s Association. MI FLghts Reserved. Page 59 of 94 90 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 2 AWW.A[1-14 SECTION 2: REFERENCES This standard references the following documents. In their latest editions, they forma pan of this standard to the extent specified within the standard. In any case of conflict, the requirements of this standard shall prevail. ANSI`IAWWA B300—Hypochlorites. ANSIIAWWA B301—Liquid Chlorine. ANSIIAW WA C652—Disinfection of Water Storage Facilities. ANSI/AWWA C655—Field Dechlorination. APHA,t AWWA, and WEF.k Standard Methods far the Ercmination of Water and Wastewater. AW WA Manual M12, Simplified Procedures far Water Esaminsatiorn, NSFIANSS 61—Drinking Water System Components —Health Effects. SECTION 3: DEFINITIONS The following definitions shall apply in this standard: 1. Available chlorine.• A measure of the amount of chlorine in chlorinated lime, hypochlorite compounds, chloramines, and other materials that are used For disinfection compared with the amount in elemental (liquid or gaseous) chlorine. 2. Chlorine, combined: The amount of chlorine combined with ammonia (NH3) or other compounds in water. 3. Chlorine, fire: Also called free available chlorine, the amount of chlo- rine available as dissolved gas (C12), hypochlorous acid (HOC), and hypochlorite (OC 1 that is not combined with ammonia (NH3) or other compounds in water that is available for disinfection. 4. Chlorine residual• Concentration of chlorine species present in water after the oxidant demand has been satisfied. 5. Chlorine. mrai A combination of free chlorine, combined chlorine, and organochlorine species. 6. Canstrucrar.• The parry that provides the work and materials for place- ment or installation. 'American National Standards institute, 25 West 43rd Street, Fourth Floor, New York, NY 10036. tAmerkan Public Health Association, S00 1 Street NW, Washington, DC 20001. # Water Environment Federation, 601 Wythe Street, Alexandria. VA 22314. Copyright m 2D15 American Waler Works Association. All FLghts Reserved. Page 60 of 94 91 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS 3 7. Liquid chlorine (gar): the commercially available form of liquefied elemental chlorine gas. (The term liquid chlorine is sometimes used to describe a hypuchlorire solution. This use of the trrm is discouraged. See ANSI/AWWA B300, Hypochlorites.j 8. Marrufuchcrer: The party that manufactures, fabricates, or produces marerials or products. 9. Purchaser: The person, company, or organization that purchases any materials or work to be performed. 10. Supplier: 'lhe party that supplies material or services. A supplier may or may not be the manufacturer. 11. Organochlorine: Any organic compound containing chlorine as a con- stituent. Organochlorine compounds can form when chlorine reacts with organic substances. SECTION 4: REQUIREMENTS Materials shall comply with the requirements of the Safe Drinking Warer Act and other federal regulations for potable water, wastewarer, and reclaimed water systems as applicable. Sec. 4.1 Forms of Chlorine for Disinfection The forms of chlorine that may he used in the water main disinfection opera- tions are liquid chlorine (gas), sodium hypochlorite solution, and calcium hypo - chlorite granules or tablets. 4.1.1 Liquid chlorine (gas). Liquid chlorine (gas) conforming to ANSI/ AWWA B301 contains 100 percent available chlorine and is packaged in steel conrainers usually of I00-1b, 150-Ib, or 1-ton (45.4-kg, 68.0-kg, or 907.2-kg) net chlorine weight. Liquid chlorine (gas) shall be used only (1) in combination wirh appropriate gas -Row chlorinators and rjecrors co provide a controlled high -concen- tration solution Fred co the water co be chlorinated; (2) under the direct supervision of someone familiar with the biological, chemical, and physical properties ofliquid chlorine (gas) and who is trained and equipped to handle any emergency that may arise; and (3) when appropriate safety practices are observed to protect working personnel and the public. Makeshift equipment is not acceptable when liquid chlo- rine (gas) cylinders are used. Copyright t 2D15 American Waler Works Association. MI FLghts Reserved. Page 61 of 94 92 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 4 AWWA C651.14 4.1.2 Sodium hypoddlorite. Sodium hypochlorire conforming to ANSI/ AWWA B300 is available in liquid form in glass. rubber -lined or plastic conrain- ers typically ranging in size from 1 qt (0.95 L) ro 5 gal (18.92 L). Containers of 30 gal (113.6 L) or larger may be available in some areas. Sodium hypochlorire contains approximately 5 percent to 15 percent available chlorine, and the storage conditions and rime must be controlled to minimize its deterioration. (Available chlorine is expressed as a percent of weight when the concentration is 5 percent or less, and usually as a percent of volume for higher concentrations. Percent x 10 = grams of available chlorine per liter of hypochlorite.) 4.1.3 Calcium hypochlorite. Calcium hypodhlorite conforming to ANSI/ AWWA B300 is available in granular form or in 5-g tablets and must contain approximately 65 percent available chlorine by weight. The material should be stored in a cool, dry. and dark environment to minimize its deterioration. CAtrrtoN: Tablets dissolve in approximately 7 hr and must be given adequate contact time. Do not use calcium hypochlorite intended for swimming pool disin- fection, as this material has been sequestered and is extremely difficult to eliminate from the pipe after the desired contact time has been achieved. Sec. 4.2 General Considerations for All Methods of Chlorination 4.2.1 General. Four methods of chlorination are explained in this sec- tion: (abler. continuous feed. slug. and spray. The tablet merhod gives an initial chlorine dose of 25 mg/L; the continuous -feed method gives a 24-hr chlorine residual of not less than 10 mg/L; the slug method gives a 3-hr exposure of not less than 50 mg/L free chlorine; and rhe spray method gives a 30-min exposure of not Icss than 200 mgfL free chlorine. Caution should be used with highly chlorinated water when conducting hydrostatic pressure testing and with high - volume flushing of -water. 4.2.2 Flushing. Potable water shall be used for disinfection, hydrostatic pressure testing, and Hushing. Drainage should take place away from the construc- tion or work area. Adequate drainage must he provided during Hushing, if appli- cable, (he valve(s) isolating the main from exisring sysrem should be locked out and tagged out to prevent uninrentional release of rhe elevated chlorine residual water used for disinfection. 4.2.3 Drchlarination. When dechlorinarion is required, it is recom- mended that any high -velocity flushing br complered prior to disinfrction. Dcchlo- rination equipment may not be capable of handling high flows with high levels of chlorine. Copyright m 2D15 American Water Wol%s Association. MI Rghts Reserved. Page 62 of 94 93 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS 5 Table 1 Weight of calcium hypochlorite granules to be placed at beginning of main and at each 500-ft (150-m) interval Pipe Diameter (d) Calcium Hypochlocite Granules in. (mnrj sec (g) 4 (100) 1.7 (48) 6 (150) 3.8 008) 8 (200) 6.7 (190) 10 (250) 10.5 (298) 12 (300) 15.1 (428) 14 and larger 050 and larger) D2 x 15.1 D2 x 428 Where ❑ is the inside pipe diameter, in feet D = d112 Sec. 4.3 Tablet/Granule Method of Chlorination 4.3.1 Tablet method. The tablet method consists of placing calcium hypo - chlorite granules or tablets in the water main during installation and then filling the main with potable water to create a chlorine solution. This method may be used only if' the pipes and appurtenances are kept dean and dry during construction. WARNING: This procedure must nut be used on solvent -welded plastic or an screwed -joint steel pipe because of the danger of firc or explosion from the reaction of the joint compounds with the calcium hypochlorite. 43,2 Placement of calcium bypochlaritegranule's during construction. Cal- cium hypochlorite granules shall he placed at the upstream end of the First section of pipe, at the upstream end of each branch main, and ar 500-ft (150-m) intervals. the quantity of granules at each location shall be as shown in Table 1. 4.3.3 Placement of calcium hypochlorite tablets daring construction. Cal- cium hypochlorite tablets (5-grams) shall be placed in the upstream end of each section of pipe to be disinfected, including branch lines. Also, at Least one tablet shall be placed in each hydrant branch and in other appurtenances. The number of 5-g tablets required for each pipe section shall be 0.0012 d2L rounded to the new higher integer, where d is the inside pipe diameter, in inches, and L is the length of the pipe section, in feet. Table 2 shows the number of tablets required for commonly used sizes of pipe. Calcium hypochlorite tablets shall be attached by an adhesive meeting the requirements of NSF/ANSI (1. There shall he adhesive only on the broadside of the tablet attached to the surface of the pipe. Attach tablets inside and at the top of the main. if the tablets are attached before the pipe section is placed in Copyright tt 2D15 American Water Works Association. All FLghts Reserved. Page 63 of 94 94 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 6 AWWAC6S1-14 Table 2 Number of 5-g calcium hypo -chlorite tablets required for dose of 25 mg/L' Length aF Pipe Section, fr (in) Pipe Pia meter 13 (4.0) or less 18 (5.5) 20 (6.1) 30 (9.1) 40 (12.2) in. (ram) Number of 5-g Calcium Hypochlorite Tablets 4 {100) 1 1 1 1 1 6 (150) 1 1 1 2 2 a (200) 1 2 2 3 4 10 (250) 2 3 3 4 5 12 (300) 3 4 4 6 7 16 (400) 4 6 7 10 13 `Based on 3.25-g available chlorine. per tablet the trench, their positions shall be marked on the pipe exterior ro indicate that the pipe has been installed with the tablets at the top. 4.3.4 Pilling end contact time. When installation has been completed, the main shall be filled with water such that the full pipe velocity is no greater than 1 frlsec (0,3 misec). Fill rate must be carefully controlled to ensure tablets do nor come loose from pipe. Precautions shall be taken to ensure that air pockets are eliminated. As an optional procedure, if required by the purchaser. water used TO fill the new main shall he supplied Through a temporary connection that shall include an appropriate cross -connection control device, consistent with the degree of hazard, for backflow protection of the active distribution system (see Figure 1). The chlorinated water shall remain in the pipe for at least 24 hr. if the waver temperature is less than 41"F (5°C), the water shall remain in the pipe for at least 48 he. A derectable free chlorine residual mg/L) shall be found at each sampling point after the 24- or 48-hr period. Ser. 4.4 Continnous-Feed Method of CMorination 4.4.1 Continuous feed method. The continuous -feed method consists of completely filling the main with potable water, removing air pockets, then flush- ing the completed main to remove particulates. and refilling the main with potable water that has been chlorinated to 25 mg/L. After a 24-hr holding period in the main there shall be a free chlorine residual of nor less than 10 mg/L. 4,4.2 Preliminary flushing. Before the main is chlorinated, it shall be filled with potable water to eliminate air pockets and flushed to remove particulates. The flushing velocity in the main shall not he less than 3.0 ftlsec (0.91 m/sec) unless Copyright m 2015 American Wafer Works Association. MI Reyes Reserved. Page 64of 94 95 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS 7 Temporary Cap or Plug See Figure 2 for detal on suggested dawalr end sampling tap. NOTE: Figure 1 applies to pipes with diameters 4 in. (100 null through 12 in. (300 mm). Larger sires must be handled on a case -by -case basis. *Clean potable -water hose only. Size and number of taps per Table 3. This hose must be removed during the hydrostatic pressure test. Figure 1 Suggested temporary flushing/resting connection Table 3 Required flow and openings (either taps or hydrants) to flush pipelines at 3.0 fuser (0.91 misec) (40 psi 1276 kPa) residual pressure in water main)' Pipe Diameter in. (ram) Flow Required to Size of Tap Used, in. (eim) Produce 3.0 fr/sec (approx.) Velocity in Number of Hydrant Main 1 (25) 1(1 (38) 2 (51) Outlets gpm (L&c) Number of Taps Required 21-in. 41-in. on Pipet (64-mm) (114 mm) 4 (100) 120 (7.4) 1 — 1 1 6 (150) 260 (16.7) 1 1 1 8 (200) 470 (29.7) 2 — 1 1 10 (250) 730 (46.3) 3 2 1 1 12 (300) 1,060 (66.7) — 3 2 1 16 (400) 1,880 (118.6) — — 5 2 1 'With a 40-psi (276-kPa) pressure in the main with the hydrant flowing to atmosphere,. a 21-in. (64-min) hydrant Duller will discharge approximately 1,000 gpm (63.1 Lfse(); and a 416-in. (114-mm) hydrant ouder will discharge approximately 2500 gprn (160 1Jsec). tNumber of taps on pipe based on 3.0-h/sec discharge through 5 ft (1.5 m) of galvanized iron (CI) pipe with one 90' elbow. Copyright m 2D15 Amencen Water Works Association. MI FLghts Resorted. Page 65 of 94 96 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 8 AW WA C651.14 the purchaser determines chat condirions do nor permit the required flow to be dis- charged to waste. Table 3 shows the rates of flow required ro produce a velocity of 3.0 fleet (0.91 misec) in commonly used sixes of pipe. (NorE; Rushing is no sub- stitute for preventive measures during construction. Certain contaminants, such as caked deposits. resist flushing at any feasible velocity, and pigging of the main, or other suitable method acceptable ro the purchaser, may be required.) Where such flow rates are not possible, bushing at the maximum expected flow rate For the line for 2-3 volumes may be acceptable. For larger mains, pigging (or other suitable method acceptable to the purchaser) is an option in place of high velocity Rushing. For 24-in. (000-mm) or larger diameter mains, an acceptable alternative to flushing is to broom -sweep the main, carefully removing sweepings prior ro filling and chlorinating the main. WARNING;: OSHA requirements for confined spare need to be addressed before entering a pipeline. 4.4.3 Procedure fir chlorinating the main. 1. Potable water may be supplied from a temporary backflow-protected con- nection ro the existing distribution system or other supply source approved by the purchaser. The cross -connection control device shall be consistent with the degree of hazard for backflow protection of the active distribution system (sec Figure 1). The flow shall be at a constant, measured rate into the newly installed water main. In the absence of a meter, the rate may be approximated using a Pitot gauge in the discharge, measuring the time to fill a container of known volume, or measuring the trajecrnry oldie discharge and using the formula shown in Figure 2. The main should undergo hydrostatic tesring prior to disinfecrion. 2. At a point not more than 10 ft (3 m) downsrream from the beginning of the new main, water entering the new main shall receive a dose of chlorine fed at a constant rate such that the water will have not less than 25 mg/L free chlorine. To ensure that an appropriate concentration is achieved, the free chlorine concentra- tion shall be measured at regular rime intervals in accordance with the procedures described in Standard Methods for the Examination of Water and Wartetuater or AWWA Manual MI2, or using appropriate chlorine test kit (see appendix A), Table 4 gives the amount of chlorine required for each 100 ft (30.5 rn) of pipe for various pipe diameters. Solutions with a minimum 1 percent chlorine concen- tration may be prepared with sodium hypochlorite or calcium hypochlorite. The latrer solution requires 1 lb (454 g) of calcium hypochlorite in 8 gal (30.3 L) of water. Copyright m 2D15 American Weler Wor%s Association. All Rghts Reserved. Page 66 of 94 97 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS h3 Smooth. Unthreaded h-in. Hose Bill for Bactrla Sarnpies --� l2•in. Minimum Control valve teas. Miini/num d Ss rY A Formulator Estimating Rate of Discharge a_2.89d2, Whom Q = Discharge in gallons per minute d = Inside diameter of as noshing pipe d, S. Sr = Measured in inches NOTE. fills figure applies to pipes up to and including 8-in. (200-mni) diameter. Figure 2 Suggested combination blowafl•and sampling tap Table 4 Chlorine required to produce an initial 25-mg1L concentration in 100 ft (30.5 m) of pipe by diameter Pipe Diameter 100% Chlorine 1% Chlorine Solution in. (nim) l6 (y) gal (L) 4 (100) 0.013 (5.9) 0.16 (0.6) 6 (150) 0.030 (13.6) 0.36 (l.4) 8 (200) 0.054 (24.5) 0.65 (2.5) 10 (250) 0.085 (38.6) 1.02 (3.9) I2 (300) 0.120 (54.4) 1.44 (5.4) 16 (400) 0.217 (98.4) 2.60 (9.8) 3. Chlorine application shall not cease until the entire main is filled with chlorinated water. The chlorinated water shall be retained in the main for at least 24 hr, during which rime valves and hydrants in the rreated section shall be oper- ated to ensure disinfection of the appurtenances. At the end of this 24-hr period, the created water in all portions of the main shall have a residual of nor less than 10 mg1L of free chlorine. 4. Direct -feed chlorinators, which operate solely from gas pressure in a chlo- rine cylinder. shall not be used for the application of liquid chlorine (gas). (The Copyright m 2D15 American Water Woks Association. MI Frights Reserved. Page 67 of 94 98 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 10 AWWAC651.14 danger of using direct -feed chlorinarors is char water pressure in the main can exceed gas pressure in the chlorine cylinder. This allows backflow of water inro the cylinder, resulting in severe cylinder corrosion and the escape of chlorine gas.) The preferred equipment for applying liquid chlorine (gas) is a solution -feed, vacuum -operated chlorinator and a booster pump. The vacuum -operated chlori- nator mixes the chlorine gas in solution water; the booster pump then injecrs the chlorine solution into the main to be disinfected, Hypochlorite solutions may be applied to the water main with a chemical -feed pump designed For feeding chlorine solutions. Feed lines shall be made of material capable of withstanding the corro- sion caused by the concentrated chlorine solutions and the maximum pressures that may be creared by the pumps. All connections shall be checked for tightness before the solution is applied to the main. Sec. 4.5 Slug Method of Chlorination 4.5.1 Slag method The slug method consists of completely filling the main to eliminate air pockets; flushing the main to remove particulates; then slowly flowing through the main a slug of water dosed with chlorine to a concen- tration of 100 mgll.. The slow rate of flow ensures that all parts of the main and its appurrenances will be exposed to the highly chlorinated water for a period of not less than 3 hr. 4.5.2 Preliminary flushing Same as Sec. 4.4.2. 4.5.3 Procedure for chlorinating the main. 1. Potable water may be supplied from a temporary backflow-prorec:ted con- nection CO the existing distribution system or other supply source approved by the purchaser. The cross -connection control device shall be consistent with the degree of hazard for backflow protection of the active distribution system (see Figure 1). The flow shall he at a constant, measured rate into the newly installed water main. In the absence of a meter, the rate may be approximated using a Pitot gauge in the discharge, measuring the time to fill a container of known volume, or measuring the trajectory of the discharge and using the formula shown in Figure 2. The main should undergo hydrostaric resting prior TO disinfecrion. 2. At a point not more than 10 ft (3 m) downsrream from the beginning of the new main, water entering the new main shall receive a dose of chlorine fed at a constant rare such that the water will have not less than 100 mgfL free chlorine. To ensure that this concentration is achieved, the free chlorine concentration shall be measured at regular time intervals sufficient to guide the completion Eddie suc- cessful loading of the target chlorine concentration. The chlorine shall he applied Copyright t 2D15 American Water Works Association. MI Rghts Reserved. Page 68 of 94 99 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS 11 continuously and for a sufficient period so develop a solid column. or slug, of chlo- rinated water that will, as it moves through the main, expose all interior surfaces to a concenrration of approximately 100 mglL for at least 3 hr. 3. The free chlorine residual shall be measured in the slug as it moves through the main. If ar any time it drops below 50 mg/L. the flow shall be stopped; chlorination equipment shall be relocated at the head of the slug; and, as flow resumes, chlorine shall be applied to restore the free chlorine in the slug to not less than 100 mg1L. 4. As chlorinated water flows past fittings and valves, related valves and hydrants shall he operated so as to disinfect appurtenances and pipe branches. Sec. 4.6 Spray Disinfection for Large Transmission Lines For very large transmission mains (where personnel or equipment may safely enlcr rile pipe), spray disinfection may be an appropriate and efficient means of achieving disinfection. For this method, refer to ANSIIAWWA C652, Sec. 4.3.2 (Disinfection of Water Storage Facilities; Chlorination Method 2). In general, once pipe is cleaned, spray a 200-mg1L free chlorine solution on all surfaces. After 30 min, fill line and sample as described in Sec. 5.1. Sec. 4.7 Basic Disinfection Procedure for New Mains The basic di sin feet ion procedure consists of 1, Inspecting materials to be used co ensure their integrity. 2. Preventing contaminating materials from entering the water main during storage, construction, or repair and noting potential contamination at the con- struction site. 3. Removing, by Hushing or other means, those materials that may have entered the water main or appurtenances. 4. Preventing contamination of existing mains from cross -connexion dur- ing flushing, pressure testing, and disinfection. 5. Pressure resting the waver main to ensure she main meers rile purchaser's allowable leakage rate. Hydrosracic pressure tests should be conducted wish potable waver. 6. Chlorinating and adequately documenting the process used for disin- fection. 7. Flushing the chlorinated water from the main. Refer to ANSI/AWWA C655 Field Dcchlorination for dechlorination procedures, if dechlorination is required. Copyright m 2D15 American Weler Works Association. All Fights Reserved. Page 69 of 94 100 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 12 AW WA C651.14 8. Determining the bacteriological quality of warer samples collected from the pipe by laborarory test after disinfection. 9. Final connecting of the newly disinfecred water main to the active distri- bution system without sacrificing sanitary practices and conditions. Sec. 4.8 Preventive and Corrective Measures During New Construction 4.8.1 General. Heavy particular -es generally contain bacteria and prevent even very high chlorine concentrations from contacting and killing these organisms. Therefore. the procedures of this section must be observed to ensure chat a water main and in appurtenances have been thoroughly cleaned for the final disinfecrion by chlorination. Also, any connexion of a new water main to the arrive distribu- tion system before the receipt of satisfactory bacteriological samples may constitute a cross -connection. Therefore, the new main must be isolated until bacteriological tests described in Secrion 5 of this standard are satisfactorily completed. 4.8.2 Keeping pipe clean and dry: The interiors of pipes, fittings, and valves shall be protected from contamination. 4.8.2.1 Openings. Openings in the pipeline shall be closed with water- tight plugs when pipe laying is stopped at the close of the day's work or for other reasons, such as rest breaks or meal periods. Rodent -proof plugs may be used when watertight plugs are not practicable and when thorough cleaning will be performed by flushing or other means. 4.8.2.2 Stringing pipe. Pipe delivered for construction shall be srrung to minimize the entrance of foreign material. 4.8.2.3 Delays. Delay in placement of delivered pipe invires contamina- tion. The more closely the rate of delivery is correlated to the rate of pipe laying, the lower the risk of contamination. 4.8.3 ]tuck. Joints of pipe in the trench shall be completed before work is stopped. if water accumulates in the trench, the plugs shall remain in place until the trench is free of standing water and mud that may enter the pipe. 4.8.4 Packing materials. Yarning or packing material shall consist of molded or rubular rubber rings, rope of treated paper. or other approved materials. Materials such as jure or hemp shall not be used. Packing material shall be handled in a manner that avoids conramination. 4.8.5 Sealing materials. No contaminated material or any marerial capa- ble of supporting growth of microorganisms shall be used for sealing joints. Seal- ing material or gaskets shall be handled in a manner that avoids contamination. The lubricant used in the installation of scaling gaskets shall he suitable for use in Copyright ®2015 American Wei& Works Association. 511 Rights Reserved. Page 70 of 94 101 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ❑ISINFECTING WATER MAINS 13 potable water meeting the requirements of NSF/ANSI GI and shall not contribute odors. It shall be delivered ro the job in dosed containers and shall be kepi clean and applied with dedicated clean applicators. 4.8.6 Cleaning and swabbing. If dirt enters the pipe, it shall be removed and the interior pipe surface swabbed with a minimum l percent free chlorine disinfecting solution. If, in the opinion of the purchaser, the dirt remaining in the pipe will not be removed using the flushing operation, the interior of the pipe shall be cleaned using mechanical means, such as a hydraulically propelled foam pig (or other suitable device acceptable to the purchaser) in conjunction with the appli- cation of a minimum 1 percent Free chlorine disinfecting solution. 'the cleaning method used shall not force mud or debris into the inrerior pipe -joint spaces and shall be acceptable to the purchaser. 4.8.7 Wet -trench construction. If it is nor possible ro keep the pipe and fit - rings dry during installarion, a scour flush at 3.0 frlsec (0.91 misec] or greater for a minimum of three pipe volumes (see Table 3) followed by slug or continuous -feed chlorination and bacteria resting before release is required. For larger mains, pig - Sing or other suitable method acceptable to the purchaser is an option in place of high -velocity flushing. 4.8.8 Flooding by storm or accident during construction. if the main is flooded during construction, it shall he cleared of the floodwater by draining and flushing with potable water until the main is clean. The section exposed to the floodwater shall then be filled with a chlorinated potable water that, at the end of a 24-hr holding period, will have a free chlorine residual of nor less than 25 niglL. The chlorinated water may then he drained or flushed From the main. if chemical contamination occurs, such as a hydraulic oil leak or petroleum product spill, the pipe sections exposed ro the contamination should be replaced and not reused for potable water applications. After construction is completed, the main shall be dis- infected using the continuous -feed, slug, or spray methods. 4.8.9 Backflow prmrecrion (optional).' As an optional procedure (if required by the purchaser), the new waver main shall be kept isolated from the active distri- bution system using a physical separation (see Figure 1) until satisfactory bacterio- logical testing has been completed and the disinfection water flushed out. Water required to fill the new main for hydrostatic pressure testing, disinfec- tion, and flushing shall be supplied through a temporary connection between the ' Optional Sec. 4.8.9 is nor included as parr of the standard unkss required by the purchaser. Copyright t, 2015 American Weler Works Association. MI Fegrtts Reserved. Page 71 of 94 102 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 14 AWWAC651.14 distribution system and the new main or other supply source approved by the pur- chaser. The temporary connection shall include an appropriate cross -connection control device consistent with the degree of hazard (a double check valve assembly or a reduced pressure zone assembly) and shall be disconnected (physically sepa- rared) from the new main during the hydrostatic pressure test. It will be necessary to reestablish the temporary connection after completion of the hydrostatic pres- sure test to flush out the disinfectant water prior to final connection of the new main to the distribution system. NOTE; Exposure to high levels of chlorine or high pH can cause severe irritation to customers. Also, the chlorinated water can be high in disinfection by-products. Sec. 4.9 Final Flushing for New Mains 4.9.1 Clearing else main of heavily chlorinated water. After the applicable retention period, heavily chlorinated water should not remain in prolonged contact with pipe. In order to prevent damage to the pipe lining OF to prevent corrosion damage to the pipc itself, the heavily chlorinated water shall he flushed from the main fittings, valves, and branches until chlorine measurements show that the con- centration in the water leaving the main is no higher than that generally prevailing in the distribution system or that is acceptable for domestic use. 4.9.2 Disposing of heavily chlorinated water. Ihe environment to which the chlorinated water is to be discharged shall be inspected. If there is any possibil- ity that the chlorinated discharge will cause damage so the environment, a neutral- izing chemical shall be applied to the water to be wasted to thoroughly neutralize the residual chlorine (see ANSI/AWWA C655 for neutralizing chemicals). Where necessary, federal, state, local, or provincial regulatory agencies should be con- tacted to determine special provisions for the disposal of heavily chlorinated water, Sec. 4.10 Final Connections to Existing Mains Water mains and appurtenances must be completely installed, flushed, disin- fected, and satisfactory bacteriological sample results received prior to permanent connections being made co the active distribution system. Sanitary construction practices must be followed during installation of the final connection so that there is no contamination of the new or existing water main with foreign material or groundwater. 4.10.1 Connections equal to or less than one pipe length (generally 520 fr �6rn]}. The new pipe, fittings, and valves) required for the connection may be spray disinfected or swabbed with a minimum 1 percent solution of chlorine just Copyright m 2D15 American Weser Wot%s Association. MI FLghts Reservers. Page 72 of 94 103 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS 15 before being installed, if the total Iength of the connection from the end of a new main to the existing main is equal to or Iess than 20 fi (6 m). 4.10.2 Connections greater than one pipe length (generally >20 fr [6 mV). The pipe required for the connection must he set up aboveground, disinfected, and baae- ridogical samples taken, as described in Section 5, if the total length of the connec- tion from the end of a new main ro the existing main is greater than 20 ft (6 m). After satisfactory bacteriological sample results have been received for the predisinfe� ed pipe, the pipe can he used in connecting the new main to the active distribution system. Between the time the satisfactory bacteriological sample results are received and the time that the connection piping is installed, the ends of the piping must be sealed with plastic wraps, watertight plugs, or caps. Sec. 4,11 Disinfection Procedures When Cutting Into or Repairing Existing Pipe 4.11.i General. The planned, unplanned, or emergency repair of a water main or appurtenance (e.g., valve) is time sensitive —an important goal is to mini- mize the disruption of water service to customers. Nonetheless, the repair work needs ro be accomplished using sanitary and safe procedures by well -trained crews with proper supervision and guidance. Refer to preventive and corrective measures described previously in Sec. 4.8.2, 4.8.3, 4.8.4, and 4.8.5. Follow all personal pm- tection precautions when working with chlorine solutions. 4.11.2 Basic disinfection. Work should follow basic disinfection and con- tamination prevention procedures: 1. Preventing contaminants from entering the existing pipe during the repair such as by maintaining positive pressure in the leaking pipe until the repair sire on the pipe is fully exposed, by maintaining a dewatcrcd trench, and by keeping all pipe materials being used in the repair in a clean and sanitary condition. 2. Inspecting and cleaning. followed by disinfection of spraying or swabbing with a minimum 1 percent chlorine solution: • Exposed portions of existing pipe interior surfaces • Pipe materials used in the repair • Handheld materials and toils used to make the repair 3. As appropriate, advising affected customers to adequately flush their ser- vice lines upon rerurn to service. 4.11.3 Selection of disinfection procedure. The disinfection procedure selected should be determined by the conditions and severity of the main break. Many leaks or breaks can be repaired under controlled conditions without depres- surizing the water main, such as when applying a damp to a small crack or hole, Copyright m 2D15 American Wales Works Association. MI Rights Reserved. Page 73 of 94 104 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 16 AWWAC651.74 Elms preventing contaminants from entering the wa er system. In most other situa- tions, the waxer main can be maintained pressurized until the break site is secured and the pipe is fully exposed. Some circumstances (e.g., severe erosion of the local environment or icing of the roadway) that impact public safety may require that water pressure be substantially reduced prior to exposing the pipe in the area of the leak. In some cases, situations become catastrophic where there is a pipe blow- out and a loss of water pressure prior to shutdown, requiring disinfection proce- dures equivalent to those of a new main installation. The procedures described in Sec. 4.11.3.1 through 4.11.3.3 describe the contamination risks and the associated disinfection and sampling requirements for different scenarios of pipeline repair. Specific situations not captured below need to be evaluated and the appropriate disinfection and sampling methods followed. Note that the procedures explained in Sec. 4.11.3.1, 4.11.3.2, and 4.113.3 for disxributioli Inains may need to be modified for large transmission mains. Large mains may need additional work (such as having a valve replaced or requiring a special order on a connection), may be out of service for more than a day, or may not be able to accommodate a scour flush. These modifications need to be made on a case -by -case basis but should still take into account the procedures outlined in ANSI/AWWA C651. 4,11.3.1 Controlled pipe repair without depressurization. In this situa- tion, activities are well controlled and a full shutdown is not needed, thus main- taining positive pressure to the area of shutdown and around the break site at all times. The repair sire is exposed and the trench is adequately dewatered so that the repair sire can be cleaned and disinfected by spraying or swabbing with a mini- mum 1 percent chlorine solution. The water main is then returned to service with flushing to obtain three volumes of waxer turnover, making sure that the flushed waver is visually clear. No bacteriological resting is necessary. It is advisable to check for a typical system chlorine residual, and if sins found, ro continue Rushing until residuals are restored to levels maintained in the distribution system by the water utility —if the system operates with a disinfectant residual. 4.11.3.2 Controlled pipe repair with depressurization after shutdown. In this situation, after the repair site has been exposed and secured from trench soil/ water contamination, the water main is depressurized by a shutdown to complete the repair. The repair site should be cleaned and disinfected by spraying or swab- bingwirh a minimum 1 percenr chlorinesolution. The waxer main is then returned to service with flushing to scour the pipe and obtain three volumes of water turn - Copyright t 2D15 American Wader Works Association. 51I FLghts Reserved. Page 74 of 94 105 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS 17 over, making sure that the flushed water is visually clear. It is advisable to check for a typical system chlorine residual, and if not found, ro continue flushing until residuals are restored to levels maintained in the discriburion system by the water utility —if the system operates wirh a disinfectant residual. When the existing pipe has to be opened and the interior surfaces of the water system exposed to the environment, additional procedures need to be followed. The existing pipe should he inspected and cleaned with the help of flushing water into nce trench, where possible, until the flush water runs visually dear. The rcpair site should be accessible and the trench adequately dewatered so that the repair site can be cleaned and disinfec ed by spraying or swabbing with a minimum 1 percent chlorine solution. Additionally, any accessible upsrream and downstream interior of the exist- ing pipe should be disinfected by swabbing or spraying wirh a minimum 1 percent chlorine solution. if the repair requires a full pipe section replacement, the new pipe should be inspecred, leaned, and disinfected from both ends by swabbing with a minimum 1 percent chlorine solution. The water main may then be returned w service afire flushing to scour the pipe and obtain three volumes of water turnover. The flushed water should ton visually clear, have a measurable chlorine residual if the system operates with a residual, and be checked with bacteriological testing. The pipeline may be returned to service prior to obtaining bacteriological results. 4.11.3.3 Clncontrollcd pipe break with a likelihood of water contamination or loss of sanitary conditions during repair. In situations in which the existing main to be repaired could not be protected and kept free of contamination and there are obvious signs of contamination (e.g., muddy trench water Bowing into the broken pipe and a leaking sewer pipe in the trench, or catastrophic pipe failure where pipe is open and there is a likelihood that contamination was drawn into the active system) or when a controlled repair situation turns into a situation in which the internal pipe and water have become contaminated, the procedures outlined in Scc. 4.3. 4.4, 4.5. or 4.6 should be followed where practical. These methods specify chlorine doses of 25-300 mg/L; however, such levels may present greater harm if the line or services cannot be reliably isolated or shut down and exposure of customers to high concentrations ofchlorine cannot be controlled. Free chlorine residuals up to 4 mg/L (based on annual averages) are allowed by federal drinking water regulations; therefore rhis level is suggested as a minimum to be maintained for at least l6 hr in conjunction with flushing, coliform sampling, and associated cusromer education. Such situations require careful review and need to balance die public health risks of the pipeline failure as well as the repair process. Copyright m 2D15 American Wafer Works Association. All FLgrits Reserved. Page 75 of 94 106 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 18 AWWAC651.14 Where practical and appropriate considering the risks of public exposure to high concentrations of chlorine, in addition to the procedures previously described in this standard, the section of pipe in which the break is located shall be isolated, all service connections shut off, and the section flushed and disin- fected. If the slug chlorination method is employed, the dose may be increased to as much as 300 mg/L and the contact rime reduced to as little as 15 min. After chlorination and repair, perform scour flushing at 3.0 ft/sec (0.91 m/sec) or greater for a minimum of three pipe volumes and continue until discolored water is not observed and the chlorine residual is restored to the levels maintained in the distribution system by the water utility. For larger -diameter pipe (12 in. and greater), if a waver velocity of 3.0 ft/sec (0.91 miser) cannot be achieved. it is desirable to flush at the maximum How for the main until three pipe volumes have been displaced before returning the main to service. The Hushed water should run visually clear. and have typical system chlorine residual (if the system operates with a disinfectant residual). For very-large-diamerer pipe (where personnel may safely enter the pipe), in lieu of flushing following disinfection, the interior of the pipe at the repair site may be cleaned by sweeping or high pressure wash using potable water before disinfec- tion. Standing water and debris from the leaning must be removed from the pipe prior ro disinfection. The affected pipe shall be disinfected by swabbing or spraying with a minimum l percent chlorine solution. After following the appropriate methods above, prior to returning the pipe to service. the efficacy of the disinfection procedure shall be verified by testing for the absence of coliform bacteria. hallowed by local regulations, the pipeline may be returned to limited service prior to obtaining bacteriological results with proper norificarion of the affected customers. 4.11,4 Temporary service lines. Temporary water service lines to custom- ers during main repair activities shall be disinfected prior ro use. Materials shall meet the NSF/ANSI 6l certification for potable water use. Disinfection should he accomplished by the procedures in Sec. 4.4 or 4.5 followed by scour flushing at 3.0 ft/sec (0.91 m/sec) or greater for a minimum of three pipe volumes (see Table 3), or until the water runs visually clear and preferably a measurable chlo- rine residual is restored. Copyright t 2D15 American Waler Works Association. MI FLghts Reserved. Page 76 of 94 107 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAINS 19 SECTION 5: VERIFICATION Sec. 5.1 Bacteriological Tests 5.1.1 Standard condition for new mains. it should be recognized that the primary means of ensuring the sanitary integrity of a main are the sanitary han- dling of materials, the practices during construction, and continual inspection of work. Aftcrdisinfcctioli and final flushing such that typicaI system chlorine residu- als are present, lithe system operates with a residual, samples shall be collected as follows: 5.1.1.1 For new mains, the purchaser has two options for the bacteriologi- caI testing for royal colifarm analysis. Option A: Before approving a main for release, take an initial set of samples and then resample again after a minimum of 16 hr using the sampling site procedures outlined. Both sets of samples must pass for the main to be approved for release. Option B: Before approving a main for release, ler it sit for a minimum of 16 hr without any water use. Then collect, using the sampling site procedures outlined and without flushing the main, two sets of samples a minimum of 15 min apart while the sampling raps are left running. Both sets of samples must pass for the main to be approved for release. A set ofsamplcs includes all samples collected along the length of the pipeline, as described in Sec. 5.1.1.2. 5.1.1.2 For new mains, sets of samples shall he collected every 1,200 ft (370 m) of the new water main, plus one set from the end of the line and at least one from each branch greater than one pipe length. 5.1.1.3 if trench water has entered the new main during construction or if, in the opinion of the purchaser, excessive quantities of dirt or debris have entered the new main, bacteriological samples shall be taken at intervals of approximately 200 ft (61 m), and the sampling location shall be identified (see Sec. 5.1.3 far sam- pling location details). Samples shall be taken of water chat has stood in the new main for at least 16 hr after final flushing has been completed. 5.1.1.4 A standard heterotrophic plate count (HPC) test may be required at the option of the purchaser because new mains do not typically contain colifortn bacteria but often contain HPC bacteria. if sample results show HPC greater than 500 C:FU/ml., flushing should resume and aanther set of HPC: and col iform sam- ples collected until no coliform are present and the HPC is less than 500 CFLAmL. Copyright m 2D15 American Weler Works Association. MI Rights Reserved. Page 77 of 94 108 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 20 AWWAC651.14 5.1.2 Standard conditions for repaired mains. It should he recognized that the primary means of ensuring the sanitary integrity of a main are the sanitary handling of materials, the practices during repair work, and ronrinual inspection of work. After disinfection and final flushing, samples shall be collected as follows: 5.1.2.1 For repaired mains that were depressurized and/or wholly or par- tially dewatered, one ser of samples may be required, and depending upon the sanitary conditions, the line may be reactivated prior to the completion of bacte- riological testing. Samples shall be collected downstream of the repair site and at intervals of approximately 200 ft (61 m) within the length of pipe that was shut down. if direction of flow is not known, samples shall he collected on either side of the repair site. Refer to Sec. 4.11. 5.1.2.2 For repaired mains that were maintained under pressurized conditions at all times, disinfection and/or testing may not be required. Refer to Sec. 4.11.3. 5.1.2,3 However, under either main repair scenario, it is advisable where possible to provide a scour Hush to clear before the release of die repaired section. 5.1,3 Sampling procedure. Samples for bacteriological analysis shall be col- lected in sterile bottles treated with sodium thiosulfate, in accordance with Section 9060—Samples of Standard Methods for the Examination of Water and Wastewater. Hoses and firr hydrants arc not recommended for the collection of samples that will be used to make decisions on the bacteriological quality of drinking water. How- ever, if no sampling port is available, cleaned fire hydrants that have been cleared of standing water andlor other sanitized sampling apparatus (i.e., sanitized tubing, hose, gooseneck, spigot) may be used wirh the understanding that they do not rep- resent optimum aeress ro the water main for bacteriological sampling. A suggested combinarion blowoff and sampling tap used for mains up ro and including 8-in. (200-rem) diameter is shown in Figure 2. There should be no water in the trench up to the connection for sampling. The sampling pipe must be dedicated and clean and disinfected and flushed prior to sampling. A corporation cock may be installed in the main with a copper -tube gooseneck assembly. After samples have been collected, the gooseneck assembly maybe removed and retained for future use and the corporation cock should be capped or taped for future reuse. if corporation cocks are placed at the 12 o'clock position, they may be struck more easily during future excavations. 5.1.4 Sample results. Samples shall be tested for bacteriological quality in accordance with Standard Methods for the Examination of Water and Wastewater and shall show the absence of coliform bacteria. Copyright m 2D15 American WeIsr Works Association. MI FLghts Reserved. Page 78 of 94 109 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS DISINFECTING WATER MAIMS 21 In addition. it is recommended that samples be rested for acceptable aesthetic quality (e.g., chlorine residual, pH, alkalinity, specific conductance, turbidity). Levels should be as expected or typical for the water system. For new mains, a stan- dard heterotrophic plate count test may be required at the option of the purchaser because new mains do nor typically contain coliform bacteria but often contain HPC bacteria. if sample results show HPC greater than 500 CFU/mL, flushing should resume artd another set of HPC and coliform samples collected until no coliform are present and the HPC is less than 500 CFU/mL. 5.1.5 Record of compliance. The record of compliance shall be the bacte- riological test results certifying that the water sampled is free of coliform bacteria contatninarion. 5.1.6 Redirinf non. If the initial disinfection fails to produce satisfac- tory bacteriological results, or if other results indicate unacceptable water quality. the main may be reflushed and shall be resampled. If check samples fail to pro- duce acceptable results, the main shall be rechlorinated by the continuous -feed or slug method until satisfactory results are obtained —char being acceptable samples taken as described in Sec, 5.1,1,1. NOTE; in the cast of new mains, high velocities in the adjacent existing sys- tem, resulting from flushing the new main, may disturb sediment that has accu- mulated in the existing mains. When check samples are taken, it is advisable ro sample water entering the new main ro determine if excessive turbidity is present that could be interfering with results. Sec. 5.2 Optional Sampling and Testing [fa pipeline is not promptly returned to service, the situation should be evalu- ated to determine if the water quality may have been impacted and if additional resting is warranted_ Test results should confirm that the water quality is appropri- ate far distribution. Although this assessment is unique for each system, parameters considered for testing include disinfectant residual, total coliform bacteria, HPC, turbidity, pl I, alka]inns% rural chlorine, odor, and specific conductance. SECTION 6: DELIVERY this standard has no applicable information for this section. Copyright t 2D15 American Water Works Association. MI FLghts Reserved. Page 79 of 94 110 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS Thus page inrcntionally bank. Copyright t 2015 Amman Wailer Works Asso atlon. WI Rgnts Reserved. Page 80 of 94 111 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS APPENDIXA Chlorine Residual Testing heir appendix is far infrrrmarion only and is nor a parr of ANSIMWWA CGSI. SECTION A.1: DPD DROP DILUTION METHOD (FOR FIELD TEST) The N, N-diethyl-p-phcnylcncdiamine (DPD) drop dilution method of approximating total residual chlorine is suitable for concentrations above 10 mglL, such a those applied in the disinfection of water mains or tanks. Sec. A.1.1 Apparatus 1. A graduated cylinder for measuring distilled water. 2. An automatic or safety pipette. 3. Two dropping pipettes that deliver a 1-mi. sample in 20 drops. One pipette is For dispensing the water sample, and the other is For dispensing the DPD and buffer solutions. The pipettes should not be interchanged. 4. A comparator kit containing a suitable range of standards. Sec. A.1.2 Reagents 1, DPD indicator solution. Prepare as prescribed in StandardMethodr, far tht Examination of Water and Warteuwater. Sec. A.1.3 Procedure 1. Add 10 drops of DPD solurion and 10 drops of buffer solution (or 20 drops of combined DPD-buffer solution) to a compararor cell. 2. Fill the comparator cell co the 10-mL mark with distilled water. 3. With a dropping pipette, add the water sample one drop as a time; mix until a red color is formed than matches one oldie color standards. 4. Record the [oral number of drops used and the final chlorine reading obtained (that is, the chlorine reading of the matched standard). 5. Cakulatc the milligrams per liter of free residual chlorine as Follows: mg1L chlorine - reading x 200 drops of sample 23 Copyright m 20/5 American Waler minis Association. MI [tights Reserved. Page a1 of 94 112 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS 24 AWWAC:6S1.14 SECTION A.2: HIGH -RANGE CHLORINE TEST KITS Several manufacturers produce high -range chlorine test kits that arc inex- pensive, easy to use, and satisfactory For the precision required. Copyright m 2015 Amman Wailer Works Assoaatan. WI Rgnts Reserved. Page 82 of 94 113 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS APPENDIX B Chlorine Dosages This Appendix is far informatton only and is nor a parr ofANSIIAWWA C651. Table B.1 Amounts of chemicals required to produce various chlorine concentrations in 100,000 gal (378.5 m3) of water' Calcium Hypoehlorite Desired Sodium Hypoch1oritt Required Required Chlorine Liquid Concentration Chlorine 5% Available 10% Available 15% Available 65% Available in Water Required Chlorine Chlorine Chlorine Chlorine mglL l6 (kg) gal (4) gal (4) gal (4) l6 (kg) 2 1.7 (0.77) 3.9 (14.7) 2.0 (7.6) 1.3 (4.9) 2.6 (1.18) 10 8.3 (3.76) 19.4 (73.4) 9.9 (37.5) 6.7 (25.4) 12.8 (5.81) 50 42.0 (19.05) 97.0 (367.2) 49.6 (187.8) 33.4 (126.4) 64.0 (29.03) 'Amounts of -sodium hypochlorirc are based en concentrations of available chlorine by volume. For either sodium hypochlorite or calcium hypochlorite. extended or improper storage of chemicals may have caused a lass of available chluri ne. Table B.2 Amounts of chemicals required to produce chlorine concentration of 200 mgfL in various volumes of water' Calcium Hypochlorirc Sodium Hypochloriie Required Required Liquid Volume Chlorine 5% Available 10% Available 15% Available 65% Available of Warer Required Chlorine Chlorine Chlorine Chlorine gal I. 16 (g) gal (LJ gal (1) gal (l? 16 (g) 10 (37.9) 0.02 (9.I) 0.04 (0.15) 0.02 (0.08) 0.02 (0.08) 0.03 (13.6) 50 (189.3) 0.10 (45.4) 0.20 (0.76) 0.10 (0.38) 0.07 (0.26) 0.15 (68.0) 100 (378.5) 0.20 (90.7) 0.40 (1.51) 0.20 (0.76) 0.15 (057) 0.30 (136.1) 200 (757.1) 0.40 (181.4) 0.80 (3.03) 0.40 (1.51) 0.30 (1.14) 0.60 (272.2) 'Amounts of -sodium hypoehlorite arc based an eooccntrarions ofavailaSle chlorine by volume. For either sodium hypochlorite or calcium hypaehlarite. extended or improper storage of chemicals may have caused a loss of available chlorine. 75 Copyright t9 20/5 American Waier Works Association. MI Frights Reserved. Page 83 of 94 114 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS American Water Works Association 6666 west Quincy Avenue Denver, CO 80235-3098 T 800.926.7332 www.awwe.org Dedicated to the world's most important resource, AWWA sets the standard for water knowledge, management, and informed public policy. A W WA members provide solutions to improve public health, protect the environment, strengthen the economy, and enhance our quality of life. 1P-2M 43651.2015101/15) IW Printed on Recycled Paper Copyright ®2015 Amencan Wailer Mons Association. Ali Rights. Reserved. Page 84 of 94 9 56 9745- -52s76-0W5 78 625 760463 115 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS IOWARN Agreement Mutual Aid and Assistance Agreement for the Iowa Water/Wastewater Agency Response Network (IdWARN) AGREEMENT This Agreement is made and entered into by public and private water and wastewater utilities and emergency management commissions and agencies that have, by executing this Agreement, manifested their intent to participate in an intrastate program for Mutual Aid and Assistance among Iowa Water and Wastewater Utilities known as the IOWARN Mutual Aid and Assistance Program. This Agreement is authorized under Chapter 29C, Iowa Code, which authorizes mutual aid arrangements for reciprocal disaster services and recovery. This Agreement is further authorized as to the public agencies' utility parties hereto by the respective authority of 357, 357A, 358, 364, 384, 386, 388, 389 and 504A Iowa Code, which authorize Water and Wastewater Utilities that are public agencies to contract to provide services. This Agreement is further authorized by Section 28E.12 Iowa Code, but this Agreement is not otherwise adopted pursuant to Chapter 28E, Iowa Code, and is not intended to be a 28E Agreement. ARTICLE I. PURPOSE Recognizing that emergencies may require aid or assistance in the form of personnel, equipment, and supplies from outside the area of impact, the signatory utilities hereby establish a program for Mutual Aid and Assistance for Iowa Water and Wastewater Utilities known as the IOWARN Mutual Aid and Assistance Program'. Through the IOWARN Mutual Aid and Assistance Program, Members coordinate response activities and share resources during emergencies, with the support and assistance of the Associated Agencies. This Agreement sets forth the procedures and standards for the administration of the IOWARN Mutual Aid and Assistance Program. Page 85 of 94 116 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ARTICLE II. DEFINITIONS A. Authorized Official — An employee or officer of a Member that is authorized to: 1. Request assistance; 2. Offer assistance; 3. Refuse to offer assistance; or 4. Withdraw assistance under this Agreement. B. Emergency — A natural or human caused event or circumstance causing, or imminently threatening to cause, loss of life, injury to person or property, human suffering or financial loss, and includes, but is not limited to, fire, explosion, flood, severe weather, drought, earthquake, volcanic activity, spills or releases of oil or hazardous material, contamination, utility or transportation emergencies, disease, bright, infestation, civil disturbance, riot, war and terrorism, sabotage or other intentional acts, that are, or could reasonably be, beyond the capability of the services, personnel, equipment, and facilities of a IOWARN Mutual Aid and Assistance Program Member to fully manage and mitigate internally. C. Members — Any public or private Water or Wastewater Utility that manifests intent to participate in the IOWARN Mutual Aid and Assistance Program by executing this Agreement. Members are primarily Iowa Water or Wastewater Utilities, but membership is open to water and wastewater utilities outside the State of Iowa that operate in areas contiguous to an Iowa utility Member. 1 Requesting Member — A Member who makes a Requestfor Assistance under the IOWARN Mutual Aid and Assistance Program. 2. Responding Member — A Member that responds to a Request for Assistance under the IOWARN Mutual Aid and Assistance Program. 3. Non -Responding Member - A Member that does not provide aid or assistance during a Period of Assistance under the IOWARN Mutual Aid and Assistance Program. 0. Associated Agencies — The Iowa Emergency Management Commissions and Agencies and other non utility participants that agree to provide a support role for the IOWARN Mutual Aid and Assistance Program by separate agreement or other undertaking approved by the Statewide Steering Committee. Associated Agencies are not parties to this Agreement and do not provide or receive emergency services under this Agreement. To the extent Associated Agencies do provide any emergency services to any Member the terms under which such services are provided shall be as the provider and recipient shall separately agree. The initial Associated Agencies include: (1) the Iowa Section of the American Water Works Association; (2) the Iowa Rural Water Association; (3) the Iowa Department of Natural Resources, and (4) the Homeland Security and Emergency Management Division of the Iowa Department of Public Defense. Additional Associated Agencies may be added by vote of the Statewide Committee. E. Confidential Information - Any document shared with any signatory of this Agreement that is marked confidential and that is confidential under Section 22.7 Iowa Code or other exemption from disclosure under Ch. 22, Code of Iowa. Page 86 of 94 117 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS F. Request for Assistance. A request by a Requesting Member to any one or more other Members for mutual aid or assistance in the event of an Emergency under the IOWARN Mutual Aid and Assistance Program. F. Period of Assistance — A specified period of time when a Responding Member assists a Requesting Member. The period commences when personnel, equipment, or supplies depart from Responding Member's facility and ends when the resources return to their facility (portal to portal). All protections identified in this Agreement apply during this period. The specified Period of Assistance may occur during response to or recovery from an emergency, as previously defined. G. Statewide Committee — The Statewide Committee established under Article ill. H. Statewide Chair— The chair of the Statewide Committee selected under Article III. Statewide Coordinator — The person appointed to such position by the Statewide Committee as provided under Article III. J. National Incident Management System (NIMS): A national, standardized approach to incident management and response that sets uniform processes and procedures for emergency response operations. ARTICLE III. ADMINISTRATION The ICWARN Mutual Aid and Assistance Program shall be administered through a Statewide Committee, a Statewide Chair and a Statewide Coordinator. The Statewide Committee shall provide coordination of the IOWARN Mutual Aid and Assistance Program before, during, and after an emergency and shall include regional representatives from across the state. The designated regions shall be consistent with the regions established by the Iowa Department of Natural Resources. The Statewide Committee shall consist of one Member representative from each region selected by the Members in such region by written ballot and a Statewide Chair selected by the Members annually by written ballot, plus one non -voting representative of each Associate Agency. The Statewide Committee shall meet at least annually and shall plan and coordinate emergency planning and response activities for the IOWARN Mutual Aid and Assistance Program under the leadership of the Statewide Chair. The Statewide Committee shall appoint a Statewide Coordinator from among the employees of the Members or Associated Agencies who shall facilitate, coordinate, and administer the activities of the IOWARN Mutual Aid and Assistance Program under the direction of the Statewide Committee. The Statewide Committee shall establish rules of procedure for the conduct of committee business. Meetings of the Statewide Committee shall be conducted in accordance with the Iowa Open Meetings Law, Chapter21, laws Code. Page 87 of 94 118 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ARTICLE 1V. PROCEDURES In coordination with the emergency management and public health system of the state, the Statewide Committee shall develop operational and planning procedures for the IOWARN Mutual Ald and Assistance Program. These procedures shall be reviewed at least annually and updated as needed by the Statewide Committee and shall be set forth in an IOWARN Mutual Aid and Assistance Program Manual and an IOWARN Mutual Aid and Assistance Handbook. ARTICLE V. REQUESTS FOR ASSISTANCE A. Member Responsibility: Members shall: (1) identify an Authorized Official and alternates: (2) provide contact information, including 24-hour access; and (3) provide information on resources that may be available from the utility For mutual aid and assistance response. Such contact information shall be updated annually or when changes occur, shall be provided to the State Committee for inclusion in the IOWARN Mutual Aid and Assistance Program Manual and the IOWARN Mutual Aid and Assistance Handbook. In the event of an Emergency, a Members Authorized Official may request mutual aid and assistance directly from a specific Member by making a Request for Assistance to such Member or may make a general Request for Assistance to the Statewide Coordinator. Requests for Assistance can be made orally or in writing. When made orally, the specific request for personnel, equipment, and supplies shall be subsequently confirmed in writing as soon as practicable. Requests for Assistance to a Member shall be directed to the Authorized Official of any Member. If a Request for Assistance is made to the Statewide Coordinator, the Statewide Coordinator shall forward the Request for Assistance to one or more Authorized Officials of Members For direct response to the Requesting Member. Specific detailed protocols for making and responding to Requests for Assistance shall be set forth in the IOWARN Mutual Aid and Assistance Program Manual and the IOWARN Mutual Aid and Assistance Handbook. B. Response to a Request For Assistance — Members are not obligated to respond to a request. After a Member receives a Request for Assistance, the Authorized Official shall evaluate whether or not to respond, whether resources are available to respond, or if other circumstances would hinder response. Following the evaluation, the Authorized Official shall, as soon as possible, Inform the Requesting Member whether it will respond. If the Member is willing and able to provide assistance, the Member shall inform the Requesting Member about the type of available resources and the approximate arrival time of such assistance. C. Discretion of Responding Members Authorized Official — Execution of this Agreement does not create any duty to respond to a Request for Assistance. When a Member receives a Request for Assistance, the Authorized Official shall have sole and absolute discretion as to whether or not to respond, or the availability of resources to be used in such response. An Authonzed Member's decisions on the availability of resources shall be final. Page 88 of 94 119 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ARTICLE VI. RESPONDING MEMBER PERSONNEL A. National Incident Management System - When providing assistance under this Agreement, the Requesting Member and Responding Member shall be organized and shall function under the National incident Management System. B. Control - While employees so provided may be under the supervision of the Responding Member, the Responding Members employees come under the direction and control of the Requesting Member, consistent with the NIMS Incident Command System to address the needs identified by the Requesting Member. The Requesting Members Authorized Official shall coordinate response activities with the designated supervisors of the Responding Member. The Responding Member's designated supervisors must keep accurate records of work performed by personnel during the specified Period of Assistance. C. Food and Shelter — Whenever practical, Responding Member personnel must be self sufficient for up to 72 hours. When possible, the Requesting Member shall supply reasonable food and shelter for Responding Member personnel. If the Requesting Member is unable to provide food and shelter for Responding Member personnel, the Responding Member's designated supervisor is authorized to secure the resources necessary to meet the needs of its personnel. Except as provided below, the cost for such resources must not exceed the normal cost For such resources for that area. To the extent Food and Sheffer costs exceed the normal costs for the area, the Responding Member must demonstrate that the additional costs were reasonable and necessary under the circumstances. Unless otherwise agreed to in writing, the Requesting Member remains responsible for reimbursing the Responding Member for all reasonable and necessary costs associated with providing food and shelter, if such resources are not otherwise provided by the Requesting Member. D. Communication — The Requesting Member shall provide Responding Member personnel with radio equipment as available, or radio frequency information to program existing radio equipment, in order to facilitate communications with local responders and utility personnel. E. Status — Unless otherwise provided by law, the Responding Member's officers and employees retain the same privileges, immunities, rights, duties and benefits as provided in their respective jurisdictions. F. Licenses and Permits — To the extent permitted by law, Responding Member personnel that hold licenses, certificates, or permits evidencing professional, mechanical, or other skills shall be allowed to carry out activities and tasks relevant and related to their respective credentials during the specified Period of Assistance. G. Right to Withdraw — The Responding Member's Authorized Official retains the right to withdraw some or all of its resources at any time for any reason in the Responding Members sole and absolute discretion. Notice of intention to withdraw must be communicated to the Requesting Member's Authorized Official as soon as is practicable under the circumstances. Page 89 of 94 120 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ARTICLE VII. COST- REIMBURSEMENT The Requesting Member shall reimburse the Responding Member for each of the following categories of costs incurred during the specified Period of Assistance as agreed in whole or in part by both parties; provided, that any Responding Member may, if it so elects, assume in whole or in part such foss, damage, expense, or other cost, or may loan such equipment or donate such services to the Requesting Member without charge or cost A. Personnel — The Responding Member shall be reimbursed by the Requesting Member for personnel costs incurred for work performed during the specified Period of Assistance. Responding Member personnel costs shall be calculated according to the terms provided in their employment contracts or other conditions of employment. The Responding Members designated supervisors must keep accurate records of work performed by personnel during the specified Period of Assistance. Requesting Member reimbursement to the Responding Member may consider all personnel costs, including salaries or hourly wages, costs for fringe benefits, and indirect costs. B. Equipment — The Requesting Member shall reimburse the Responding Member for the use of equipment during the specified Period of Assistance, including, but not limited to, reasonable rental rates, all fuel, lubrication, maintenance, transportation, and loading/unloading of loaned equipment. All equipment shall be returned to the Responding Member in substantially the same condition the equipment was in at the time it was supplied to the Requesting Member as soon as is practicable and reasonable under the circumstances. At a minimum, rates for equipment use must be based on the Federal Emergency Management Agency's (FEMA) Schedule of Equipment Rates. If a Responding Member uses rates different from those in the FEMA Schedule of Equipment Rates, the Responding Member must provide such rates orally or in writing to the Requesting Member prior to supplying the equipment. Mutual agreement on which rates are used must be reached in writing prior to dispatch of the equipment. Reimbursement for equipment not referenced on the FEMA Schedule of Equipment Rates must be developed based on actual recovery of costs. If Responding Member must lease a piece of equipment while its equipment is being repaired, Requesting Member shall reimburse Responding Member for such rental costs. C. Materials and Supplies — The Requesting Member must reimburse the Responding Member in kind or at actual replacement cost, plus handling charges, for use of expendable or non- returnable supplies. The Responding Member must not charge direct fees or rental charges to the Requesting Member for other supplies and reusable items that are returned to the Responding Member in a clean, damage -free condition. Reusable supplies that are returned to the Responding Member with damage that renders them unusable must be treated as expendable supplies for purposes of cost reimbursement. D Payment Period — The Responding Member must provide an itemized bill to the Requesting Member for all expenses incurred by the Responding Member while providing assistance under this Agreement. The Requesting Member must send the itemized bill not later than (90) ninety days following the end of the Period of Assistance. The Responding Member may request additional periods of time within which to submit the itemized bill, and Requesting Member shall not unreasonably withhold consent to such request. The Requesting Member must pay the bill in full on or before the forty-fifth (45'h) day following the billing date. The Requesting Member may request additional periods of time within Page 90 of 94 121 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS which to pay the itemized bill. and Responding Member shall not unreasonably withhold consent to such request, provided. however, that all payment shall occur not later than one- year after the date a final itemized bill is submitted to the Requesting Member. E. Records — Each Responding Member and their duly authorized representatives shall have access to a Requesting Members books, documents, notes, reports, papers and records which are directly pertinent to the Request for Assistance made pursuant to this Agreement for the purposes of reviewing the accuracy of a cast bill or making a financial, maintenance or regulatory audit Each Requesting Member and their duly authorized representatives shall have access to a Responding Member's books, documents, notes. reports. papers and records which are directly pertinent to a Response to a Request for Assistance made pursuant to this Agreement far the purposes of reviewing the accuracy of a cost bill or making a financial, maintenance or regulatory audit. Such records shall be maintained for at least three (3) years or longer where required by law. ARTICLE VIII. DISPUTES If any controversy or claim arises out of. or relates to, the execution of the Agreement, including, but not limited to, alleged breach of the Agreement, the disputing Members shall first attempt to resolve the dispute by negotiation, followed by mediation and finally shall be settled by arbitration in accordance with the Rules of the American Arbitration Association. Any court of competent jurisdiction may enter the judgment rendered by the arbitrators as final judgment that is binding on the parties. ARTICLE IX. REQUESTING MEMBER'S DUTY TO INDEMNIFY Except as provided in Article XIII pertaining to Insurance, the Requesting Member shall assume the defense of. fully indemnify and hold harmless, the Responding Member, its officers and employees, from all claims. loss. damage, injury and liability of every kind, nature and description. directly or indirectly arising from Responding Member's work during a specified Period of Assistance. The scope of the Requesting Member's duty to indemnify includes, but is not limited to. suits arising from, or related to, negligent or wrongful use of equipment or supplies on loan to the Requesting Member, or faulty workmanship or other negligent acts, errors or omissions by Requesting Member or the Responding Member personnel. The Requesting Members duty to indemnify is subject to, and shall be applied consistent with, the conditions set forth in Article X. ARTICLE X. SIGNATORY INDEMNIFICATION In the event of a liability, claim, demand, action, or proceeding of whatever kind or nature arising out of a specified Period of Assistance, the Requesting Member shall have a duty to defend, indemnify, save and hold harmless all Non -Responding Members. their officers, agents and Page 91 of 94 122 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS employees from any liability, claim, demand, action, or proceeding of whatever kind or nature arising out of a Period of Assistance. ARTICLE XI, WORKER'S COMPENSATION CLAIMS The Responding Member is responsible for providing worker's compensation and other injury and death benefits for its employees and for administering worker's compensation for its employees. The Requesting Member is responsible for providing worker's compensation and other injury and death benefits for its employees and for administering worker's compensation for its employees. ARTICLE XII. NOTICE A Member who becomes aware of a claim or suit that in anyway, directly or indirectly, contingently or otherwise. affects or might affect other Members of this Agreement shall provide prompt and timely notice to the Members who may be affected by the suit or claim. Each Member reserves the right to participate in the defense of such claims or suits as necessary to protect its own interests. ARTICLE XIII. INSURANCE Members of this Agreement shall maintain an insurance policy or maintain a self insurance program that covers activities that it may undertake by virtue of membership in the IOWARN Mutual Aid and Assistance Program. Each Member waives subrogation for any injury or damage covered by its own insurance against any other member. ARTICLE XIV. CONFIDENTIAL INFORMATION To the fullest extent allowed by Chapter 22, lowa Code or other applicable law, each Member and Associated Agency shall maintain in the strictest confidence and shall take all reasonable steps necessary to prevent the disclosure of any Confidential Information disclosed under this Agreement. If any Member, Associated Participant, third party or other entity requests or demands, by subpoena or otherwise, that a Member or Associated Participant disclose any Confidential Information disclosed under this Agreement, the Member or Associated Participant shall immediately notify the owner of the Confidential Information and shall take all reasonable steps necessary to prevent the disclosure of any Confidential Information by asserting all applicable rights and privileges with respect to such information and shall cooperate fully in any judicial or administrative proceeding relating thereto. Page 92 of 94 123 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ARTICLE XV. EFFECTIVE DATE This Agreement shall be effective after the Water and Wastewater Utility's authorized representative executes the Agreement and the Statewide Committee Chair receives the Agreement. The Statewide Committee Chair shall maintain a master list of all Members and Associated Agencies in the IOWARN Mutual Aid and Assistance Program. ARTICLE XVI, WITHDRAWAL A Member may withdraw from this Agreement by providing written notice of its intent to withdraw to the Statewide Chair. Withdrawal takes effect 60 days after the appropriate officials receive notice. Withdrawal from this Agreement shall in no way affect a Requesting Members duty to reimburse a Responding Member for cost incurred during a Period of Assistance, which duty shall survive such withdrawal. ARTICLE XVII. MODIFICATION No provision of this Agreement may be modified, altered or rescinded by individual parties to the Agreement. Modifications to this Agreement may be due to programmatic operational changes to support the agreement, legislative action, creation of an interstate aid and assistance agreement, or other developments. Modifications to this Agreement may be proposed by the Statewide Committee. The Statewide Committee Chair shall provide written notice to all Members of proposed modifications to this Agreement together with a written ballot allowing Members to vote for or against the proposed modification. A proposed modification shall become effective only if it is approved by written vote of at least a majority of the Members. Approved modifications shall take effect 60 days after the date upon which notice of the approved modification is sent to the Members. ARTICLE XVIII. SEVERABILITY The parties agree that if any term or provision of this Agreement is declared by a court of competent jurisdiction to be illegal or in conflict with any law, the validity of the remaining terms and provisions shall not be affected, and the rights and obligations of the parties shall be construed and enforced as if the Agreement did not contain the particular term or provision held to be invalid. ARTICLE XIX. PRIOR AGREEMENTS This Agreement supersedes all prior Agreements between Members to the extent that such prior Agreements are inconsistent with this Agreement. Page 93 of 94 124 STANDARD OPERATING PROCEDURE FOR SANITARY AND UNSANITARY (INC WATER MAIN BREAK) CONDITIONS ARTICLE XX. PROHIBITION ON THIRD PARTIES AND ASSIGNMENT OF RIGHTS/DUTIES This Agreement is for the sole benefit of the Members and no person or entity shall have any rights under this Agreement as a third party beneficiary. Assignments of benefits and delegations of duties created by this Agreement are prohibited and shall be without effect. ARTICLE XXI. INTRASTATE AND INTERSTATE IOWARN MUTUAL AID AND ASSISTANCE PROGRAMS To the extent practicable, Members shall participate in Mutual Aid and Assistance activities conducted under the State of lows Mutual Aid and Assistance Program and the Interstate Emergency Management Assistance Compact (EMAC) as set forth in Chapter 29C, Iowa Code. Members may voluntarily agree to participate in an interstate mutual aid and assistance program for water and wastewater utilities through this Agreement if such a program Is established. Now, therefore, in consideration of the covenants and obligations set forth in this Agreement, the Water and Wastewater Utility or other Agency listed here manifests its intent to be a Member of the IOWARN Mutual Aid and Assistance Program by executing this Agreement on this 7th day of April 2009. WateriWastewater Utility or Agency: City of Dubuque By: chael C. Van Mifligen Title: City Manager By: Title Please Print Name Approved pfrfo form and legality By Attomey for Utility Please Print Name Page 94of 94 125 Part 4: Water Department Operations and Vendor Contact Information Purpose The purpose of this part of the document is to supplement the Continuity of Operations Plan within the Water Plant and Distribution Department. This manual is also a tool to be used during the transition period for a new or acting Water Department Manager. The intent is to help understand the basic policies, procedures, expectations, and day-to-day responsibilities of the Water Department and Manager. 127 DIJBUQUE VISION STATEMENT 2019 City Council Goals & Priorities City of Dubuque Goals 2024 • Robust Local Economy: Diverse Businesses and Jobs with Economic Prosperity Vibrant Community: Healthy & Safe • Livable Neighborhoods & Housing: Great Place to Live • Financially Responsible, High -Performance City Organization: Sustainable, Equitable, and Effective Service Delivery 2019-2021 POLICY AGENDA TOP PRIORITIES (in alphabetical order) • Dream Center: Facilities & Programs • Emerald Ash Borer Program • Human Resources Policies & Handbook Revision • Imagine Dubuque: Implementation • Major Street Improvement Plan: Project Priority & Funding • Parking Ramp Maintenance: Funding 2019-2021 MANAGEMENT AGENDA TOP PRIORITIES (in alphabetical order) ■ Bee Branch Creek Projects: Next Steps • CHANGE Program: True North Housing Initiative & Bee Branch Healthy Homes Resiliency Program • Equitable Poverty Prevention: Action Plan • Industrial Park Development • Leisure Services Facilities Deferred Maintenance Assessment • Multi-Tered Housing Inspection Program ■ Park Development Projects for Non-TIF(Tax-Increment Financing), Donated Park Sites • Traffic Signal Synchronization/STREETS THE CITY OF DUB• E Masterpiece an the Mississipp¢lA • Sustainable Environment: Preserving and Enhancing Natural Resources Partnership for a Better Dubuque: Building Our Community that is Viable, Livable, and Equitable 410 Diverse Arts, Culture, Parks, and Recreation Experiences and Activities Connected Community: Equitable Transportation, Technology Infrastructure, and Mobility Policy Agenda items are issues that need direction or a policy decision by the City Council, or need a major Funding decision by the City Council, or issues that need City Council leadership in the community or with other governmental bodies. The policy agenda is divided into top priorities and high priorities. HIGH PRIORITIES (in alphabetical order) • Brain Health Strategy & Action Plan • Debt Reduction Plan: Re -Affirmation • Fountain of Youth: Funding • Four Mounds/HEART Program: Funding • Street Maintenance Program: Increased Funding • Transit Vehicle Replacement Funding Management agenda items are issues for which the City Council has set the overall direction and provided initial funding, may require further City Council action or Funding, or are major management projects that may take multiple years to implement. The management agenda is divided into top priorities and high priorities. HIGH PRIORITIES (in alphabetical order) • Dubuque Riverfront Master Plan (Corps of Engineers) • Citywide Departmental Work Order System Implementation • Innovation & Entrepreneurial Strategy • School Resource Officer: Implementation • Southwest Arterial Business Development • Water & Resource Recovery Center: Nutrient Trading 128 ■■ ■ MEMEIOPI ■IIPP' we r. ilk" i ' r W 1 PAINTED WINDOWS AT THE MULTI 4 FAMILY CENTER EXPA ION Sn E MANAGEMENT IN PROGRESS jj Items that are underway and budgeted. Staff is implementing and providing updates to City Council. Projects that are underway and budgeted. Staff is implementing and providing updates to City Council. iv MAJOR " PROJECTS Robust Local Economy: Diverse Businesses and Jobs with Economic Prosperity Management in Progress • Business Development at the Airport: University of Dubuque • GDDC Retail Attraction Strategy ■ Downtown Housing Creation Strategy • Riverfront Lease Sites ■ Federal Opportunity Zones • Brownfield Grants • FAA Supplemental Funding • Air Charters to Leisure Destinations Major Projects ▪ Demarcation Point Relocation [Phone Line Termination Paint] • old Air Terminal Demolition Vibrant Community: Healthy & Safe nnalicsgeuneIit Ili rrug� e�:. • Police Reaccreditation ■ Humane Society Contract Renewal • WRRC: Certification of Environmental • CAD Connection to City Cameras Network ■ Traffic Camera System • School Safety and Security Plan and Protocols • Dispatcher Training Program • Communication National Quality Assurance • Healthcare for Residents from Pacific Islands • Smart 911 Personal and Building Profile Marketing • Quick Response Pumper • Fire Accreditation • Police Officer Recruitment & Retention • P25 Radio System Building & Implementation • Panic Button for City Facilities • Ambulance Staffing Alternatives • Police Department Transition to New Caliber Weapons Major Projects • Crescent Community Health Center. Clinic Construction • Fire Headquarters and Stations ADA Compliance • Fire Stations HVAC and Lighting Improvements • Multicultural Family Center Construction Livable Neighborhoods & Housing: Great Place to Live Management in Progress • Barrington Lakes Reservoir Abandonment • Code Enforcement: Accela Program • Downtown Commercial Buildings Evaluatio & Assessment Project Major Projects • Lowell Street Retaining Wall Repair: Funding • Historic Millwork District Parking Lot and Signage ...CYNT' HP_ D C'_ EAN-UP GRANTS BEAUTIFY OUR COMMUNITY 129 VISIDUTEMENT RSITY, EQUITY, AND INCLUSION TRAINING - Financially Responsible, High -Performance City Organization: Sustainable, Equitable, and Effective Service Delivery Management in Progress • Third St. Data Center • ADA Compliance Transition • Aerial Photography & Control Monumentation • Cartegraph OMS System Asset Management Expansion • Certified Financial Report Software Conversion • City Website; Redesign • Community Resident Survey and Actions • Diverse Applicants Recruitment Strategy • Financial Management Software: Study & Draft RFP • Health Benefits Consulting and Actuarial Services • High Performing Organization/Outcome-driven Decision -making Strategy • Indirect Rate for Grants • Internal Liquor License Approval Process • InVision Facility Management Software • I -Net Connection for Remote Site • Liquor License Process • New Employee and Promoted Employee Orientation and Support Program ■ Paperless Accounts Payable Workflow Development & Implementation • Workers Compensation Claims Management Major Projects • City Hall Sidewalks Heating System • City Hall Annex Windows Replacement Sustainable Environment: Preserving and Enhancing Natural Resources Management in Progress • Community Climate Action & Resiliency Plan • Flood Control System: Corps of Engineers Project Approval • FOG (Fats, Oils, & Greases) Program • Glass Collection Drop-off Programs • Growing Sustainable Communities Conference • Lead & Copper Rule Compliance Water Sampling & Testing • Public Education on Bikeable)Walkable Dubuque • Sanitary Sewer System Condition Assessment • Sewer Infrastructure Asset Management Plan Major Projects • 17th St./W. Locust St. HUD Resiliency Storm Sewer Improvement Project • 22nd St./Kaufman Ave. HUD Resiliency Storm Sewer Improvement Project • Bee Branch Culvert Project Under Railroad • Bee Branch Gates/Pump Station • Cell 9 Landfill Project: Phase 4 • Fire Hydrants Installation [former Vernon Water System] • Pressure Reducing Valve Implementation ■ Sanitary ForcemainVRiverbank Stabilization Project (US Corps of Engineers) • SCADA Overhaul: Water • Roosevelt Street Water Tower Project • Vernon Well Abandonment • WRRC Outfall Manhole Reconstruction • Water Tank Inspection Program & Maintenance • Water Lines Extension — SW Arterial • West 3rd St. Generator 130 management in progress and major projects: continued Parntership for a Better Dubuque: Building Our Community that is Viable, Livabte, and Equitable Management in Progress • 2020 Census Complete Count • Campaign for Grade Level Reading- Community Solution Action Plan • City Racial Equity Toolkit: Results -based Accountability • Civic Action Plan & Civic Leaders Program • Equity Training for City Staff • My Brother's Keeper • Welcoming & Connecting with New Residents Program (GDDC) Diverse Arts, Culture, Parks, and Recreation Experiences and Activities Management in Progress • All Community Reads Event • Americorps • Changing Lives Through Literature Program • EB Lyons Center Partnership Development • Library Marketing Campaign • Pollinator Habitat in Park System AMERICORPS READFNG TUTOR Management in Progress ■ Bunker Hill Golf Course Irrigation • Comiskey Park Renovation • Eagle Point Park Environmental Restoration Project ■ English Ridge & Eagle Valley Subdivision Parks • Grand River Center: Upgrade Projects • Miracle League Complex • Veterans Pond: Dedication Connected Community: Equitable Transportation, Technology Infrastructure, and Mobility Management in Progress • ADA Pads For Bus Stops • BUILD Grant & Other Grants • Bus Routes: Update Maps • Comprehensive Pavement Preservation Plan • Downtown Parking Ordinance • Ramps Structural Analysis • Smart Tool for Integrated Parking Platform • Smart Technology for Transportation Data Collection • Transportation Customer App • WiFi in Fixed Routes • WiFi in Intermodal & Intermodal Lobby Major Projects • Chavanelle Road Hike/Bike Trail • Chavenelle Road Rehabilitation • Four-laning Southwest Arterial(US52) • Highway 52 Repaving • North Cascade Rd. Reconstruction to Timber Hyrst Subdivision) & Water Main Extension • Northwest Arterial Upgrade (IDOT) • Parking Lot Re -striping • Roundabouts • Washington Street Improvements (7th to 9th) 131 Water Department Manager Responsibilities and Tasks The Water Department Manager is responsible for the overall operation, maintenance, and budget of the water treatment plant, the water distribution infrastructure, and all associated department facilities. Through the responsibilities and tasks associated with the position is outlined in this manual, the Manager must be flexible at all times including after hours to balance and blend operation activities with staff to meet the needs of the system and to achieve its goals by providing the best service possible to the public. This is achieved by accomplishing the following tasks: 1. Supervises and administers twenty-five employees. One (1) water plant manager, one (1) confidential account clerk, one (1) industrial maintenance mechanic, one (1) industrial electrician, one(1) water operations supervisor, seven (7)water plant operators, one (1) distribution supervisor, one (1) distribution foreman, one (1) project engineer, one (1) GIS specialist, three (3) meter repair workers, six (6) distribution maintenance employees. a. Goals and objectives per division reviewed, approved, and monitored b. New policies, procedures and products for the water department investigated, evaluated, recommended and implemented c. Coordination and cooperation between divisions and departments d. Administrative requirements fulfilled e. Customer service standards followed 2. Reviews and recommends department budgets, budget transfers, payroll, equipment and chemical purchases. a. Expenses do not exceed approved budget b. Approve purchases ($1,000.00 limits) c. Budget transfers are justified and documented d. Equipment and clerical purchases follow guidelines and format e. Travel authorizations and expense reports abide by procedures f. Projections for five-year improvements (Operation and C.I.P.) 3. Review and make recommendations on personnel matters for twenty-five (25) employees. a. Salary recommendations follow approved guidelines b. Performance evaluations completed on time c. Corrective measures actions follow guidelines d. Employee coaching & leadership e. Grievances/complaints follow guidelines f. Executing and compliance with City personnel policy g. Execution and compliance with Union Contract 132 4. Establishes and provides for ongoing training programs for personnel. a. Cross training between sections b. Technical training programs within divisions documented c. Procedural manuals kept up to date d. Technical training opportunities offered equally to all employees e. Schedule and provide continuous training for employees to achieve State license requirements 5. Participates actively in management decisions a. Internal and external implications considered b. Department head meetings attended when scheduled c. City Manager's meeting, when scheduled d. Policy/procedures clarified when requested and as needed e. Special project assignments completed on time f. Inter -office and inter -city problems resolved expeditiously g. Participate and attend monthly management team meetings h. Participate and attend weekly or as needed Task Force Meetings i. Participate and assist, on interview committee for new hires j. Actively participate on State Boards Associations in the Water Industry 6. Resolve customer complaints/problems a. Customer complaints handled within 24 hours b. Consistent procedures are developed and followed c. Exceptional circumstances addressed and resolved within 48 hours 7. Keep abreast of changes in local, State and Federal statues, administrative regulations, ordinances, etc. for changes with impact on operations (monitor and execute) a. Local plumbing, electrical and health codes b. State plumbing, electrical and health codes c. Iowa Department of Natural Resources Rules and Regulations d. Safe Drinking Water Act e. Compliance to Federal Environmental Protection Agency (EPA) Regulations f. American Water Works Associations (AWWA) Standards and Practices g. Local, State and Federal Fuel Storage Rules and Regulations h. Chemical Material Safety Procedures i. OSHA/IOSHA Safety Rules and Regulations (Chemical safety, equipment safety, employee safety and public safety) j. Department of Transportation Rules and Regulations of transfer of chemicals and products. k. Provide feedback on proposed legislation and regulating changes prior to and during session for proper development I. Develop and execute action plans to implement changes m. Department of Homeland Security rules and regulations 133 8. Available to participate in media interviews a. Local newspaper, Telegraph Herald b. Local and state television c. Others upon request The responsibilities and tasks associated with the Water Department Manager require him/her to be knowledgeable in a wide variety of complex areas. It is his/her responsibility to balance and achieve these activities as they occur. Should the Manager need assistance he/she is to contact the City Manager and/or known professionals for assistance in the area of difficulties. 134 Organizational Charts Citizens of Dubuque City Attorney Library Management/Legislative Srrstainahility Cable 1V Parking Geographic Information Systems Transit Elected by the Citizens of Dubuque City Council City Manager Building Services Emergency Communications Finance & Budget Health Services Human Resources information Services Planning Services Public Information Transportation Services Water & Resource Recovery Center Appointed by the City Council City Clerk Economic Development Engineering Fire Housing & Community Development Human Rights Leisure Services Police Public Works Water Appointed by the Library Board of Trustees Airport Neighborhood Development Arts & Cultural Affair s Ambulance Emergency Services Management Advancing Community Equity Engagement Recreation Parks Civic Center GI and River Center Multicultural Family Center Appoirted by the Airport Commission Appointed by the City Manager 135 WATER DEPARTMENT (26.07 FULL-TIME EQUIVALENTS) (1) Water Distribution Supervisor (1) Water Distribution Foreman (1) Engineering Assistant (1) Meter Repair Worker II (2) Equipment Operator!! (5) Distribution Workers (2.8) Meter Repair Worker (1) Water Department Manager (1) Confidential Account Clerk (1) GIS Specialist (7) Plant Operators (0.5) GIS Seasonal Interns (1) Equipment Mechanic (1) Electronic Technician 136 Page Intentionally Left Blank 137 Employee Certifications Name Start Date Title Salary Water Grade Treatment Water Distribution Backflow CPR Other Water Dist. GIS Specialist 1 I 1 I 1 Equipment Operator II Water Department Manager Water Plant Operator Water Plant Operator Water Plant Operator I 1 1 1 1 1 I 1 1 1 1 Water Plant Operator 1 1 1 Water Plant Equipment Mechanic Water Distribution Foreman Water Plant Operator 1 1 1 1 1 1 1 Water Dist. Maintenance Worker I 1 1 Water Engineering Assistant 1 138 Water Meter Repair Worker I 1 Water Meter Repair Worker I I I 1 Water Meter Repair Worker I I 1 1 1 1 Water Meter Repair Worker II Water Dist. Equipment Operator II 1 1 1 I Water Dist. Supervisor Water Plant Operator 1 1 I Confidential Account Clerk I I 1 1 Water Dist. Maintenance Worker I I 1 1 1 Water Plant Operator I 1 1 1 1 Water Plant Electronic Technician 1 1 I Water Dist. Maintenance Worker I 1 139 CDepartment Owned Property NAME ADDRESS PARCEL NUMBER AIRPORT STATION AIRPORT TANK ' ASBURY TANK BUNKER HILL PUMP STATION COLLEGE TANK EAGLE POINT TANK EAGLE POINT WATER PLANT JFK� MT CARMEL PUMP STATION OLYMPIC HEIGHTS 7 PARK HILL TANK PARK HILL TANK PENNSYLVANIA TANK STAFFORD ST BOOSTER STATION WELL #10 - shallow WELL #2 - shallow LWELL #3 - shallow WELL #4 - shallow WELL #5 - deep WELL # deep WELL #7 - deep LWELL #8 - deep — WELL #9 - shallow WEST 3RD RESERVOIR VERNON WATER TOWER BARRINGTON LAKES — LOT 8, BLOCK 8, B.L. NO.2 140 Department Manuals and Resources A copy of the following manuals and resources can be found in the Water Department Manger's office unless otherwise noted. 1. Administrative Policies 2. ADA guidelines 3. The International Union of Operating Engineers Contract Stewards: 4. Water Treatment Plant Operation and Maintenance Manual 5. Water Distribution Operation and Maintenance Manual 6. Water Department Water Specifications 7. Water Plant Confined Space Inventory 8. Water Distribution Confined Space inventory 9. Competent Person Manual (OSHA) 10. Backflow Prevention Program 11. Confined Space Entry Program 12. Severe Weather Plan 13. Fourth Zone 1.2 MG Water Tower Operating and Maintenance Manual 14. Iowa American water Works Association (IWWA) directory 15. Iowa Association of Municipal Utilities Directory 16. City of Dubuque Goal Setting Manuals 17. City of Dubuque Regulatory Code, icon access from desktop 18.Insurance Services Office, Inc. (ISO) Report 19.Water distribution computerized leak detection report 20.Water Department Task Force Report on Effectiveness and Efficiency 21.Incident Command System (NIMS) 141 22. Miscellaneous Water Industry Reference Manuals 23. Previously completed project files can be found in the file room at the Water Plant, located on second floor when entering the maintenance worker office area. 142 Union Contract AGREEMENT BETWEEN THE CITY OF DUBUQUE, IOWA AND THE INTERNATIONAL UNION OF OPERATING ENGINEERS AFL-CIO - LOCAL #234 JULY 1, 2017 through JUNE 30, 2022 143 PREAMBLE This Agreement is made and entered into by and between the City of Dubuque, Iowa (hereafter called the City) and the International Union of Operating Engineers AFL-CIO Local #234 (hereafter called the Union) and between the City and the Union on behalf of the employees in the Bargaining Unit, recognized and described in ARTICLE I, RECOGNITION of this Agreement. 144 OPERATING ENGINEERS, LOCAL #234 CONTRACT TABLE OF CONTENTS PREAMBLE i ARTICLE 1 RECOGNITION 2 ARTICLE II GENERAL CONDITIONS 3 ARTICLE III NO STRIKE CLAUSE 4 ARTICLE IV CITY/UNION REPRESENTATIVES 4 ARTICLE V UNION NEGOTIATING COMMITTEE 4 ARTICLE VI NONDISCRIMINATION 5 ARTICLE VII PAYROLL DEDUCTION FOR UNION DUES 5 ARTICLE VIII UNIFORMS 6 ARTICLE IX PAYDAY 7 ARTICLE X ADEQUATE WASH FACILITIES 8 ARTICLE XI STATE CERTIFICATION 8 ARTICLE XII MEAL REIMBURSEMENT 8 ARTICLE XIII LUNCH PERIOD 8 ARTICLE XIV SAFETY EYE CLASS POLICY 9 ARTICLE XV JURY DUTY 10 ARTICLE XVI SENIORITY 11 ARTICLE XVII JOB POSTING 13 ARTICLE XVIII SHIFT TRANSFER (Voluntary) 14 ARTICLE XIX JOB CLASSIFICATION WITH SPECIAL RATES 14 ARTICLE XX LEAVES OF ABSENCE WITHOUT PAY 15 ARTICLE XXI FUNERAL LEAVE 15 ii 145 OPERATING ENGINEERS, LOCAL #234 CONTRACT TABLE OF CONTENTS (continued) ARTICLE XXII ARTICLE XXIII ARTICLE XXIV ARTICLE XXV ARTICLE XXVI ARTICLE XXVII ARTICLE XXVI!II ARTICLE XXIX ARTICLE XXX ARTICLE XXXI ARTICLE XXXII ARTICLE XXXII' ARTICLE XXXIV ARTICLE XXXV ARTICLE XXXVI ARTICLE XXXVII ARTICLE XXXVI II ARTICLE XXXIX ARTICLE XXXIX ARTICLE XXXXI ARTICLE XXXXII SICK LEAVE 16 INJURY LEAVE 18 PREGNANCY LEAVE 18 VACATIONS 19 CASUAL ❑AY 20 GROUP INSURANCE .. 22 HOURS OF WORK 23 SHIFT PREMIUM PAY 24 OVERTIME PAY 24 HOLIDAYS 25 STANDBY PAY 26 TANK CLIMBING PAY 26 CALLBACK 26 LONGEVITY 27 CLEANING UP TIME 27 PART TIME EMPLOYEES 27 GRIEVANCE PROCEDURE 28 ABSENT WITHOUT LEAVE 29 WAGE PLAN 30 SAVINGS CLAUSE 35 DURATION AND NEGOTIATIONS 35 1 146 ARTICLE I RECOGNITION The City recognizes the International Union of Operating Engineers, Local #234, certified by the Public Employment Relations Board in Case No. 249, and amended in Cases No. 1545, 2211, 7066 and 8287 as the exclusive bargaining representative for certain employees of the City of Dubuque. The following has been determined as the bargaining unit: INCLUDED: Water Pollution Control Department and Water Department: Laboratory Technician I, Plant Mechanic, Electronic Technician, Maintenance Electrician, Equipment Mechanic, Equipment Operator II, Plant Operator (certified and non certified), Assistant Plant Operator, Water Meter Repairworker I, Water Meter Repairworker II, Maintenanceworker, Truck Driver, Laborer. Parking Division: Parking Meter Checker, Ramp Cashier, Head Ramp Cashier. Building Services Department: Inspector I, Custodian I and Custodian H. Finance Department: Account Clerk I, Water Meter Serviceworker 1, Water Meter Serviceworker II, Senior Cashier, Cashier, Clerk. Housing and Community Development Department: Inspector I. Emergency Communications Department: Public Safety Dispatcher. EXCLUDED: All other employees of the City of Dubuque not represented by a certified employee organization and all supervisory, confidential, temporary, seasonal and limited term employees and all other employees excluded by Iowa Code section 20.4. 2 147 ARTICLE [1 GENERAL CONDITIONS Public Employer Rights Public employers shall have, when not in conflict with other provisions of this Agreement, in addition to all powers, duties, and rights established by constitutional provision, statute, ordinance, charter, or special act, the exclusive power, duty, and the right to: A. Direct the work of its public employees. B. Hire, promote, demote, transfer, assign and retain public employees in positions within the public agency. C. Suspend or discharge public employees for proper cause. D. Relieve public employees from duties because of lack of work or for other legitimate reasons. E. Maintain the efficiency of governmental operations. E. Determine and implement methods. means, assignments and personnel by which the public employer's operations are to be conducted. G. Take such actions as may be necessary to carry out the mission of the public employer. H. Initiate, prepare, certify and administer its budget. f. Exercise all powers and duties granted to the public employer by law. 3 148 ARTICLE III NO STRIKE CLAUSE It shall be unlawful for any public employee or any employee organization, directly or indirectly, to induce, instigate, encourage, authorize, ratify, or participate in a strike against any public employer. It shall be unlawful for any public employer to authorize, consent to, or condone a strike; or to pay or agree to pay any public employee for any day in which the employee participates in a strike; or to pay any increase in compensation or benefits to any public employee in response to or as a result of any strike or any act which violates the first paragraph of this Article. Any other provisions as stipulated in Public Employment Relations Act, Chapter 20, Code of Iowa, shall be applicable. ARTICLE IV CITYIUNION REPRESENTATIVES The Union shall provide the City with a list of representatives by name, position and area which each representative serves (if steward). Changes in this list shall be furnished to the City promptly. The City need not recognize any Union representative of whom it has not been informed. The City shall provide the Union with a list of supervisors in each area and shall also provide notification of any changes. ARTICLE V UNION NEGOTIATING COMMITTEE For employees on the Negotiating Committee who are negotiating during their normal hours of work, the City shall pay not more than four (4) employees at the straight time rate. No compensation shall be paid to employees who are negotiating outside of their normal work hours. 4 149 ARTICLE VI NONDISCRIMINATION There shall be no discrimination against any employee in the bargaining unit be either party to this Agreement because of mental or physical disability, age, sex, marital status, race, color, religion, national origin, sexual orientation or political affiliation. Complaints Involving an allegation of discrimination may be filed with the appropriate agency but shall not be a proper subject for the grievance procedure of this Agreement or the appeal procedure set forth in Chapter 400, Code of Iowa. ARTICLE V!1 PAYROLL DEDUCTION FOR UNION DUES During the terms of this Agreement, after receipt of a proper "Authorization for Dues Checkoff" card signed by the employee, the City agrees to deduct the uniformly required dues as certified by the financial secretary of the Union. Such dues shall be transmitted by the City to the financial secretary of the Union within fifteen (15) work days from the date of the deduction. It is understood and agreed to by the City, the Union and the employee that the dues checkoff authorization may be terminated by the employee at any time by giving thirty (30) days written notice. The City shall have no obligation to deduct or collect dues from a Union member whose net pay for a payroll period, after all other deductions is insufficient to cover the total authorized deductions for that payroll period. The Union shall hold the City harmless against any claims or lawsuits instituted or any losses incurred because of the City's performance of its obligations under this Article. The Union further agrees to refund the City any amounts paid to the Union in error. Any disagreement regarding the interpretation or application of this Article shall not be a proper subject for the grievance procedure of this Agreement or the appeal procedure set forth in Chapter 400, Code of Iowa. 5 150 ARTICLE VIII UNIFORMS Section 1 Upon completion of the employee's trial period (exception, Water Meter Readers), the City shall furnish each of the following regular employees with the following articles of work clothing: Water and Wastewater Treatment Employees Three (3) long sleeve shirts Three (3) short sleeve shirts Three (3) trousers One (1) summer cap One (1) winter cap ❑ne (1) summer jacket One (1) lined or one (1) hooded winter jacket -- (The department or division manager shall determine whether an employee shall receive a lined or hooded winter jacket.) Winter coveralls shall be made available to each member of the distribution crew Water Meter Readers shall receive one (1) rain poncho Ramp Cashier (Full Time) Two (2) pair of slacks Two (2) summer jackets One (1) winter jacket In the event Ramp Cashiersare required to wear a uniform blouse, the City shall provide one (1) uniform blouse for each employee. Parking Meter Checker One (1) winter coat One (1) winter cap One (1) pair of insulated boots One (1) winter jacket (this is in addition to the winter coat) Two (2) pair of pants Two (2) sweaters One (1) summer cap Two (2) blouses Two (2) skirts One (1) raincoat 6 151 Housing Inspectors The City will provide uniforms for Housing Inspectors. All clothing items listed above shall be replaced as needed. The worn-out clothing item must be turned in after a replacement clothing item is issued. Replacement of these articles shall be subject to the approval of the department/division manager. Section 2 Employees shall wear and maintain the uniform in a presentable condition while on duty and shall not wear it for any off -duty activities. City furnished uniforms must be returned upon termination of employment. Section 3 The City shall furnish each eligible part time employee in the position of Ramp Cashier the following articles of work clothing: One (1) summer jacket One (1) winter jacket Two (2) pair of slacks or two (2) skirts One (1) badge Except as otherwise provided in this section, said part time employees shall be subject to the terms of this Article_ ARTICLE IX PAYDAY Pay day shall be every other Friday. If the pay day is an observed holiday, the pay day shall be the day before the holiday. 7 152 ARTICLE X ADEQUATE WASH FACILITIES Adequate washing facilities including showers shall be provided at the service building_ No employee shall be allowed to shower during working hours unless permission is granted by the supervisor. ARTICLE XI STATE CERTIFICATION The City shall make arrangements to secure an instructor for the teaching of refresher courses necessary for personnel to maintain certification levels. The City shall make an effort to assign employees to a regular schedule and employees shall suffer no loss of straight time pay (forty [40] hour week) as a result of this schooling. The City shall reimburse employees for the cost of the Water Plant Operator, Water Pollution Control Plant Operator and Water Distribution renewal certificates issued by the Iowa Department of Natural Resources. Employees shall not be eligible for overtime payment or any other premium payment as a result of their attendance at training programs, conferences, seminars, schooling or any other meeting that is required in order to maintain and renew their Water Plant Operator, Water Pollution Control Plant Operator and Water Distribution certifications. ARTICLE XII MEAL REIMBURSEMENT The City shall furnish meals to employees during emergency work when necessary. Employees shall not be paid for mealtime after the emergency has stopped. ARTICLE XIII LUNCH PERIOD Employees in the classification of Public Safety Dispatcher, Plant Mechanic, Maintenanceworker, Meter Repairworker, Laboratory Technician I and Milk Sanitarian shall be allowed a one-half (1/2) hour unpaid lunch period. A one-half (1 /2) hour or one (1) hour unpaid lunch period shall be extended to Ramp Cashiers depending upon the operational needs of the division. Employees in the classification of Plant Operator, Assistant Plant Operator and Parking Meter Checker shall not have a specified lunch period, but may eat their meals as they work. All other employees shall be allowed one (1) hour unpaid lunch period. 8 153 ARTICLE XIV SAFETY EYE GLASS POLICY A. Each department or division manager shall determine at the time of employment if a new employee requires a pair of safety glasses for the job. If so, the following procedures shall be followed: 1. If an eye examination is needed or prescription glasses are worn, the employee is to schedule an appointment with his/her physician. The prescription is completed on a safety eye glass supplier order form and returned by the employee to the department or division manager. At this time the employee selects his/her frame style. 2. The completed prescription is sent to the safety eye glass supplier, filled by them, and sent to the employee's dispensary who shall notify its customer that the glasses have arrived and arrange for a final fitting. 3. Employees not requiring prescription safety glasses shall be screened and then fitted with nonprescription (Plano) safety glasses by City nurses and shall return them upon leaving employment or pay the cost of the glasses. It shall be the responsibility of the department to collect Plano safety glasses from departing employees. B. Cost of Safety Eye Glasses: 1. City Share: Cost of lenses and frame. City shall not pay for "extras" (e.g., photo gray lenses, etc.) not essential to the prescription. 2. Employee Share: Cost of eye examination, frame measurement, verification of prescription and proper fitting of glasses. 3. When the safety eye glass supplier sends the prescription safety glasses to the employee's dispensary the bill is sent to the Finance Director. If "extras" are included on the bill the employee shall pay for the cost by means of a payroll deduction. Note: At the time the prescription is sent, the safety eye glass supplier shall be requested to list the cost of "extras" on the glasses so that the employee may be billed. C. Each employee is responsible for his/her safety glasses. Glasses damaged through normal use during working hours shall be replaced or repaired at City expense. Glasses lost or damaged through employee carelessness shall be replaced or repaired at the employee's expense. D. Replacement lenses shall be provided at City expense when the employee's physician prescribes a lens change. 9 154 E. If an employee departs prior to three (3) months of employment the employee shall be charged for the cost of his/her prescription safety glasses. F. Employees shall be allowed to wear only those safety glasses obtained through, or approved by, the City. G. Employees wearing contact lenses and requiring safety glasses shall be issued a pair of Plano glasses to be worn over their contacts during working hours. H. Employees who have received nonprescription safety glasses and later need prescription safety glasses shall return the nonprescription safety glasses at the time the prescription glasses are issued to them. Employees shall receive only one (1) pair of either clear or tinted safety glasses at a time. J. Questions regarding this policy may be directed to the Personnel Office. K. Safety glasses must comply with prevailing OSHA standards. ARTICLE XV JURY DUTY Employees required to report for jury duty shall be paid the difference, if any, between the compensation received for jury duty and their regular wage for each day of jury duty. Mileage and meal allowance received by the employee shall not be deducted from the employee's regular wage. Normally this is processed by having the employee submit his/herjury duty compensation, excluding expense reimbursement, to the finance office in exchange for the employee's paycheck. An employee who reports for jury duty and is excused shall report immediately to his/her supervisor. In the event an employee is called for jury duty during a scheduled vacation period, the number of days serving as juror shall be rescheduled as vacation. 10 155 ARTICLE XVI SENIORITY Section 1 All employees shall serve a trial period of six (6) months. After completing six (6) months of continuous service in a full time position, the employee shall have established seniority and the employee's seniority date shall be retroactive to the most recent date of employment in a full-time position. For purposes of computing benefits, length of continuous service shall relate to an employee's most recent date of employment in a full time position. For purposes of this Agreement, the term employee shall mean full time employee. An employee may be laid off or discharged any time prior to the end of the trial period and such discharge or layoff shall not be subject to the grievance procedure of this Agreement or the appeal procedure set forth in Chapter 400, Code of Iowa. The Union shall not assert or present any grievance or appeal on behalf of an employee because of any matter or occurrence whatsoever falling within the trial period. Section 2 For purposes of layoff or recall, the following provisions shall apply: A. CIVIL SERVICE STATUS Layoff, recall and seniority rights of employees with Civil Service status shall be administered in accordance with Chapter 400, Civil Service, Code of Iowa. B. NON -CIVIL SERVICE STATUS 1. LAYOFF Employees without Civil Service status shall be laid off in accordance with the following factors: a) Competency to perform the duties of the job. b) Physical fitness. c) Length of continuous service. When factors (a) and (b) are substantially equal, length of continuous service shall be the determining factor among employees of the same relative competence. 2. RECALL Employees without Civil Service status shall be recalled in accordance with the following factors: 11 156 a) Competency to perform the duties of the job. b) Physical fitness. c) Length of continuous service. When factors (a) and (b) are substantially equal, length of continuous service shall be the determining factor among employees of the same relative competence. 3. Whenever an emergency occurs that makes it necessary for the City to curtail operation, the layoff provision of this Agreement for the selected employees shall be suspended for fourteen (14) days. 4. LAYOFF/RECALL - NOTICE The City agrees to give five (5) working days notice to employees who are scheduled to be laid off. A list of employees to be laid off shall be given to the Union five (5) working days prior to the layoff. The Union shall be given written notice of employees recalled from layoff. Section 3 An employee's seniority and employment relationship with the City shall be broken and terminated for the following reasons (this list is not inclusive): • Resignation • Discharge • Death • Retirement • Being laid off for a period of two (2) months without either being recalled to the position the employee occupied at the time of the lay off or being appointed to another position in the bargaining unit. • If, after a layoff, the employee fails to report for work within five (5) work days of the date the certified letter was mailed notifying the employee to report for work. • Failure to report to work after the termination of an authorized leave. 12 157 ARTICLE XVI! JOB POSTING The City shall post notices of position vacancies for three (3) work days to provide employees an opportunity to make application for the position. The order of consideration of applicants is as follows: • Regular employees within the division (or department where no division exists) where the opening exists. Departments and divisions are identified as follows: a Water and Resource Recovery Center o Water Department o Public Works Department o Parking Division o Building Services Department o Housing and Community Development Department o Health Services Department o Emergency Communications Department o Finance Department o Police Department • Regular employees in other divisions (or department where no division exists) who are covered by this Agreement. • Eligible part time employees within the division (or department where no division exists) where the opening exists. • Eligible part time employees In other divisions (or department where no division exists). • To any other source. The most competent person will be selected to fill the vacant position. Competency is defined as proven ability, knowledge or skill for handling of specific job. The following criteria will be used to judge a person's competency. • Related experience • Working relationship with other employees, supervisors and customers • Attendance (punctuality, dependability) • Concern for safety • Care of equipment • Leadership, (judgment, organizational skills, communication skills, adaptability, innovation, initiative) • Quality and quantity of work When the employees' competency levels are deemed to be equal, length of continuous service shall be the determining factor among employees of the same relative competence. 13 158 If the selected regular employee proves incapable of satisfactorily performing the job at anytime during a ten (10) working day orientation period, said employee shall be returned to his/her former classification. An employee who accepts a job for which the employee bid on may, at anytime during the orientation period only, return to the former classification at his/her own request. Nothing in this provision shall require the City to post temporary or short term openings such as, but not limited to, summer jobs, vacation fill -Ins, etc. Except as otherwise provided in this Article, eligible part time employees shall be subject to the terms of this Article. ARTICLE XVIII SHIFT TRANSFER (VOLUNTARY) Employees may request shift changes two times each year, once in December for shift assignments on February 1 and once in June for shift assignments on August 1. Staffing of shifts will be made in accordance with Certification Requirements of the State and workload demands. Seniority will be taken into account in assignment of personnel. No temporary shift trading shall be permitted between individual employees without the explicit approval of the department/division manager and is subject to the following conditions: A. Such temporary shift trading does not result in additional cost to the City. B. It is for an urgent or compelling reason. C. It does not extend beyond a seven (7) day calendar period The provisions of this Article apply only to employees assigned to the Water and Wastewater Treatment Plants. ARTICLE XIX JOB CLASSIFICATION WITH SPECIAL RATES Management reserves the right to temporarily switch employees from one classification to another. If an employee is advanced for fifteen (1 5) consecutive working days to a higher classification, he/she shall be considered in the step plan of the job the employee is filling retroactive to the first day for the time the employee fills the position. During a prolonged absence of a supervisor, the name of the employee in charge shall be posted and a copy sent to the Union. 14 159 ARTICLE XX LEAVES OF ABSENCE W[THOUT PAY A leave of absence without pay may be granted by the City Manager upon recommendation by the department manager. An employee desiring a leave of absence without pay shall submit a request in writing to the City Manager at least two (2) weeks in advance of when the leave is to begin. The request shall contain a statement as to the reason(s) for the desired leave, the date when the leave is to begin, and the date of return to duty. Denial of a request for a leave of absence without pay or the reason(s) therefore shall not be a subject for the grievance procedure of this Agreement or the appeal procedure set forth in Chapter 400, Code of Iowa. Failure to return to work at the end of a leave shall constitute cause for dismissal. It is understood that a leave of absence without pay shall not be used for the purpose of accepting employment elsewhere. An employee accepting other employment shall be terminated. An employee may be required to take a medical examination before being allowed to return to work following a leave of absence without pay. An employee granted a leave of absence without pay, upon completion of the leave, shall be returned to the same position and the same pay step in the pay grade corresponding to the classification occupied at the time the leave began. Except as provided in the Family and Medical Leave Act of 1993, during a leave of absence without pay, the employee shall continue to accrue seniority, but shall not accrue or receive any other privileges, benefits or pay granted by this Agreement. ARTICLE XXI FUNERAL LEAVE All regular full time employees shall be granted upon request, time off with pay for such periods of time as set forth below: Employees on a five (5) day scheduled work week. A. Death of an employee's spouse Seven (7) calendar days with a maximum of five (5) working days pay. B. Death of an employee's child or step -child Three (3) scheduled working days. C. Death of other members of an employee's immediate family 1. Relationships which are considered as other members of an employee's family are: mother, father, mother-in-law, father-in-law, sister, brother, step -mother, step -father, legal guardian, sister-in-law, brother-in-law, grandfather, grandmother and grandchild. 15 160 2. In the event the employee is the person responsible for making arrange- ments for the funeral and attending same, a period of time from when death occurs until the day following the funeral, but not to exceed three (3) scheduled working days with pay. 3. in the event the employee is not the person responsible for making arrangements for the funeral, one (1) scheduled working day shall be allowed to attend the funeral providing the funeral service falls on a scheduled working day of the employee. 4. If the conditions under C3 are applicable and the employee is assigned to the second shift, normally 3:00 P.M. to 11:00 P.M., said employee shall be allowed two (2) scheduled working days off; namely, the day before the funeral and the day of the funeral, providing the funeral service falls on a scheduled working day of the employee. ARTICLE XXII SICK LEAVE Section 1 Employees shall accrue one (1) day (eight J8] hours) of sick leave per month. The term month, as used in this section, shall mean a calendar month. Section 2 Unused sick leave shall accrue from year to year to a maximum of 960 hours. Section 3 Sick leave shall be paid to employees at their regular rate of pay predicated on an eight (8) hour workday. Charges against accrued sick leave shall be made by deducting the hours paid from the employee's accrued sick leave but it is understood that no sick leave shall be paid to an employee on their regular day off. Section 4 An employee who is on approved leave of absence due to an injury or illness shall continue to accrue sick leave credit for a period not to exceed two (2) calendar months following the month of injury or illness. No sick leave shall be accrued during layoff due to curtailment of work when such layoff extends beyond thirty (30) days. No sick leave shall be accrued during personal leave of absence when such personal leave of absence extends beyond sixty (60) days. 16 161 Accrual of sick leave shall be terminated upon the employee's discharge, resignation, retirement or death. Section 5 An employee who is injured while employed by another employer or doing contract work for pay on non -City work shall not be entitled to any sick leave payments. Section 6 Employees may use sick leave with pay for absences necessitated by injury or illness of the employee (subject to the provisions of Section 5), exposure to contagious disease or serious illness in the employee's immediate family; the immediate family shall include spouse, children, mother, father, mother-in-law, father-in-law, sister or brother. In order to be eligible for sick leave with pay, an employee must: A. Report promptly to the department manager the reason for the absence. B. Keep the department manager informed each day of absence. C. Permit the City to have made such medical examination as it deems desirable. D. Submit a medical certificate for any absence exceeding two (2) days if required by the City. Section 7 Employees who are on sick leave for sixty (60) days out of the seventy-four (74) day period and who become eligible for disability Income protection insurance shall be eligible for forty percent (40%) of a sick leave day if the employee has sick leave accrued. The total income of an employee's sick leave pay and disability insurance benefits shall equal not more than one hundred percent (100%) of an employee's regular pay. Effective July 1, 2012, Section 2 and the third paragraph of Section 4 of this Article will be replaced with the following language: Any unused portion of sick leave shall accumulate from fiscal year to fiscal year to a maximum of one -hundred twenty (120) sick days (960 sick leave hours). Employees will be paid 100% of accrued sick leave at retirement. Payment will be based on the employee's regular (straight time/base) rate of pay at retirement. Payment will be made bi-weekly over a five year period, Jr order for a retiring employee to be eligible for such payment, he/she shall have completed twenty (20) years of continuous service in a full time position or retired as a result of a disability and must be eligible for pension payments from the Iowa Public Employees' Retirement System immediately upon retirement. In the event a retired employee dies before all of the unused sick leave is paid, such payment will cease at the time 17 162 of the retired employee's death. ARTICLE XXIII INJURY LEAVE Section 1 When a regular employee of the City sustains a personal injury or illness arising out of and in the course of his/her employment, the employee may, for the first three (3) working days of total disability following the injury or illness, use earned and unused sick leave credits. Beginning on the fourth calendar day of total disability following the day of injury or illness the employee may receive, in addition to the Worker's Compensation benefits, a sum which together with said Worker's Compensation benefits equal one hundred percent (100%) of the employee's regular rate of pay. The difference between Worker's Compensation benefits and the full one hundred percent (100%) regular rate of pay shall be deducted from the earned and unused sick leave credits of the employee. Upon expiration of an employee's accumulated and unused sick leave credits the employee shall be entitled only to the benefits under the Iowa Worker's Compensation Law. Section 2 An employee who is physically able to and who fails to report within seventy two (72) hours any injury or illness, however minor, to his/her supervisor and to take such first aid or medical treatment as may be necessary shall not be eligible for the injury leave policy outlined above. ARTICLE XXIV PREGNANCY LEAVE An employee's pregnancy, childbirth or related medical condition Is regarded as a temporary disability. The commencement and duration of leave, availability of extensions, accrual of seniority and other benefits and privileges, reinstatement, and payment under the City's health insurance, disability insurance or sick leave plan, formal or informal, shall be applied to a disability due to the employee's pregnancy, childbirth or related medical condition on the same terms and conditions as they are applied to other temporary disabilities. Sick leave benefits, to the extent of an employee's accumulated sick leave, shall be granted, if requested by the employee, for the period that the employee is disabled because of the employee's pregnancy, childbirth or related medical condition. If requested, the employee shall be allowed to use other available paid leaves such as vacation, compensatory time or casual day or leave of absence without pay during the period of temporary disability. A leave of absence without pay beyond the period of temporary disability may be granted in accordance with Article XXII, LEAVES OF ABSENCE WITHOUT PAY, of this Agreement. The employee is responsible for providing timely 18 163 notice of the period of leave requested. The City reserves the right to require that the employee's disability resulting from pregnancy be verified by medical certification stating that the employee is not able to reasonably perform the essential functions of her position. ARTICLE XXV VACATIONS Section 1 After an employee has one (1) year or more of continuous service in a fu[I time position the employee shall be eligible to receive two (2) weeks paid vacation at eighty (80) hours at the regular rate of pay in each calendar year. After an employee has completed eight (8) years or more of continuous service in a full time position the employee shall be eligible to receive three (3) weeks paid vacation at one hundred twenty (120) hours at the regular rate of pay in each calendar year. After an employee has completed fifteen (15) years or more of continuous service in a full time position the employee shall be eligible to receive four (4) weeks paid vacation at one hundred sixty (160) hours at the regular rate of pay in each calendar year. After an employee has completed twenty-two (22) years or more of continuous service in a full time position the employee shall be eligible to receive five (5) weeks paid vacation at two hundred (200) hours at the regular rate of pay in each calendar year. Section 2 Vacation is earned during the year of service preceding the year in which the vacation is taken. No vacation time shall be accrued during layoff due to lack of work when such layoff exceeds thirty (30) days. No vacation time shall be accrued during a personal leave of absence when such personal leave of absence extends beyond sixty (60) days. Section 3 The vacation anniversary date of an employee shall be the same as the employee's seniority date. Vacations are to be taken within the twelve (12) month period immediately following the vacation anniversary date. Vacation time Is not accumulated from year to year; therefore, under no circumstances shall vacations be requested, scheduled, or permitted to run consecutively. 19 164 Section 4 When one of the regular holidays falls during an employee's vacation, the employee shall be allowed an extra day of vacation, eight (8) hours at the employee's regular rate of pay. Section 5 An employee who is absent from work due to illness or injury for a period not to exceed two (2) months shall continue to accrue vacation time. Section 6 Employees who have six (6) months or more continuous employment and who are laid off, resign or enter military service (provided the City is given two [2] weeks notice of termination in case of resignation or military leave of absence) shall receive vacation pay prorated to the last day worked. ARTICLE XXVI CASUAL DAY A. Water Division Employees 1. Considerations a) Two (2) casual days with pay per calendar year shall be allowed. One (1) of these two days shall not be deducted from the employee's accumulated sick leave. One (1) of these two days shall be deducted from the employee's accumulated sick leave. Employees shall receive eight (8) hours of pay for each casual day. b) Approving or disapproving the employee's requested date for each casual day shall be at the sole discretion of the employee's department manager or the department manager's authorized representative. c) The employee's request for a specific day shall be given maximum consideration consistent with the conditions set forth below under 2, but final approval is subject to (b) above and denial of the employee's requested date is not a proper subject for a grievance. d) Exception to (c) above would only be considered as a proper subject for a grievance if the employee alleges that the requested date was disapproved because of arbitrary, capricious or personal prejudice on the part of the approving authority. 20 165 e) The Union recognizes that approval or disapproval of a specific day must consider the efficient level of service due the general public. 2. Conditions a) A new employee must have completed at feast four (4) full calendar months of the probationary period in order to be eligible for a casual day. b) A casual day may be taken anytime during the year, subject to the provisions of (lb) above. c) Under no circumstances shall pay be requested or approved in lieu of the casual day off with pay. d) Once a date has been approved for an employee as the casual day, It may not be rescheduled except under the most extenuating cir- cumstances; however, it is understood and agreed that the right to cancel and reschedule an employee's casual day is reserved by the department manager or his/her representative when such extenuating circumstances exist. B All Other Employees 1. Considerations a) To afford employees one (1) day with pay, not to be deducted from sick leave accumulation to be scheduled by the department manager. b) Employees shall receive eight (8) hours of pay for the casual day. Approving or disapproving the employee's requested date for this casual day shall be at the sole discretion of the employee's department manager or the department manager's authorized representative. c) The employee's request for a specific day shall be given maximum consideration consistent with the conditions set forth below under 2, but final approval is subject to (b) above and denial of the employee's requested date is not a proper subject for a grievance. d) Exception to (c) above would only be considered as a proper subject for a grievance if the employee alleges that the requested date was disapproved because of arbitrary, capricious or personal prejudice on the part of the approving authority. e) The Union recognizes that approval or disapproval of a specific day must consider the efficient level of service due the general public. 2i 166 2. Conditions a) one (1) casual day may be taken anytime during the year, subject to the provisions of (lb) above. b) A new employee must have completed at least four (4) full calendar months of the probationary period in order to be eligible for a casual day. c) Under no circumstances shall pay be requested or approved in lieu of the casual day off with pay. Once a date has been approved for an employee as the casual day, it may not be rescheduled except under the most extenuating cir- cumstances; however, it is understood and agreed that the right to cancel and reschedule an employee's casual day is reserved by the department manager or his/her representative when such extenuating circumstances exist. ARTICLE XXVII GROUP INSURANCE Section 1 HEALTH INSURANCE Effective July 1, 2017, employees shall pay 15% of the cost of the premium established for the health and prescription drug insurance plan for which the employee is enrolled. The premium for the health and prescription drug insurance plan shall be the premium established for retirees and COBRA enrollees. Section 2 LIFE/ACCIDENTAL DEATH AND DISMEMBERMENT/DISABILITY INCOME PROTECTION INSURANCE Employees are eligible for coverage the first of the month following the completion of thirty (30) days of continuous service in a full-time position. Section 3 The specific benefits for health, prescription drug, dental, disability and life insurance are set forth in master policies and shall in all cases be the determining factor as to eligibility and amounts of coverage extended to each employee. Section 4 Whenever a covered employee ceases employment with the City the group insurance plans terminate. Health insurance benefits for dependents also terminate when the 22 167 employee ceases to be eligible for coverage or when that dependent ceases to be eligible as a dependent. A life insurance policy shall be continued by the City for employees who retire. Eligibility and amount of coverage shall be in accordance with the terms of the insurance master agreement. Section 5 The City shall continue to pay its portion of the group insurance premiums for a period up to fourteen months from the date an employee is absent due to illness or injury. However, in no event will the Clty pay its portion of group insurance premiums for a period longer than the employee's length of continuous service in a full-time position. Group insurance plans include health insurance, prescription drug insurance, life/accidental death and dismemberment insurance, and disability income protection insurance. Section 6 The City shall discontinue payment of all insurance premiums for an employee who is discharged, resigns, retires or dies. Section 7 The City shall provide IRS Section 125 Flexible Spending Accounts for medical and dependent care expenses and health, prescription drug and dental insurance premiums. ARTICLE XXVIII HOURS OF WORK The regular workday and workweek shall be eight (8) hours per day or forty (40) hours per week. For shift employees the workday shall be a twenty-four (24) hour period which normally commences at 11:00 P.M. and ends at 11:00 P.M. on the following day. A shift employee shall be defined as an employee who works in an activity for which there is regularly scheduled employment for seven (7) days per week and twenty-four (24) hours per day and who is assigned to one (1) of three shifts in the workday which normally begins at 11:00 P.M. Classifications that meet this definition are Plant Operator (Water and Wastewater), Assistant Plant Operator and Public Safety Dispatcher. The commencement of the workday and the number of shifts in a workday for employees in the classification of Public Safety Dispatcher may vary from this definition. Days in a workweek shall be established by each department. The workday at the Eagle Point Plant shall start at 7:00 A.M. The normal workweek of the Water Distribution Crew shall be Monday through Friday. 23 168 ARTICLE XXIX SHIFT PREMIUM PAY Except as herein provided, the following shall represent the shift premium rates for shift employees: Shift employees regularly assigned to a shift which normally commences at 3:00 P.M. and ends at 11:00 P.M. shall receive an additional $.10 per hour on their regular rate of pay as a shift premium. Shift employees regularly assigned to a shift which normally commences at 11:00 P.M. and ends at 7:00 A.M. shall receive an additional $.20 per hour on their regular rate of pay as a shift premium. Shift employees on a staggered shift schedule, usually called a swing shift, shall receive either $.10 or $.20 per hour on their regular rate of pay as a shift premium, depending on the average time worked on a staggered basis on a premium shift. Shift premium pay shall apply only to hours actually worked and only shift employees as defined in Article XXXI, HOURS OF WORK, shall be eligible to receive shift premium payment. Employees who are on vacation and who are eligible to receive shift premium payment shall continue to receive such payment while on vacation. A shift employee who is on any other paid or unpaid leave as provided in this Agreement shall not receive shift premium payment. Shift premium payment shall not apply when a shift employee is receiving overtime payment or any other type of premium payment. ARTICLE XXX OVERTIME PAY Except as herein provided, one and one-half (1/2) times the regular rate of pay over forty (40) hours per week, and eight (8) hours per day. Employees in the classifications of Public Safety Dispatcher shall receive one and one-half (1/2) times their regular rate of pay for all hours worked in excess of eighty (80) hours per pay period (biweekly). Employees, with the exception of employees in the classification of Public Safety Dispatcher, shall receive two (2) times the regular rate of pay for all hours worked on a holiday. Employees in the classification of Public Safety Dispatcher who are eligible for holiday pay shall be paid eight (8) hours at their regular rate of pay for each holiday in lieu of time off. 24 169 Employees in the classification of Inspector I shall not be entitled to premium payment as provided in this Article or any other premium payment as provided in this Agreement with the exception of callback pay. Employees who are eligible to receive overtime may request time off in order to compensate for and in lieu of overtime payment. Compensation shall not be paid more than once for the same hours of work under any provision of this Article or Agreement. When overtime is required, it must be approved by the employee's supervisor. ARTICLE XXXI HOLIDAYS Section 1 The following calendar days of the year shall be considered as holidays insofar as the administration of City business is concerned. When the term "holiday' is used it shall be construed to be the following days: New Year's Day Martin Luther King's Birthday Memorial Day Independence Day Labor Day Veterans Day Thanksgiving Day Day after Thanksgiving Christmas Eve Christmas Day New Year's Eve Section 2 January First Third Monday in January Last Monday in May July Fourth First Monday in September November Eleventh Fourth Thursday in November Friday following Thanksgiving Day December Twenty -Fourth December Twenty -Fifth December Thirty -First An employee shall forfeit the right to payment for a holiday if scheduled to work the holiday and does not report or if absent from work the last scheduled workday preceding and/or the first scheduled workday following the holiday, unless excused by the City for the following reasons: • Job incurred injury. • Funeral leave. • Subpoena as a witness. • Illness or injury of less than two (2) months duration with proper doctor's documentation. • Excused absence approved in writing by and at the sole discretion of the department manager. 25 170 Section 3 For non -shift employees, when the holiday falls on Sunday, the following day shall be declared a holiday for the employee. When the holiday falls on Saturday, the preceding day shall be declared a holiday for the employee. For shift employees, holidays shall be observed on the day of legal recognition by the State of Iowa. Section 4 Employees eligible for holiday pay shall be entitled to eight (8) hours pay at their regular rate for each of the named holidays. For shift employees, with the exception of employees in the classification of Public Safety Dispatcher, the holiday shall commence at 11:00 P.M. the day preceding the holiday and end at 11:00 P.M. the day of the holiday. For employees in the classification of Public Safety Dispatcher, the holiday shall commence at 11:45 P.M. the day preceding the holiday and end at 11:45 P.M. the day of the holiday. ARTICLE XXXII STANDBY PAY Standby time of six (6) hours per week at the regular rate of pay shall be granted for two (2) employees per week on the Water Distribution Crew. The week shall commence on Friday at 4:30 P.M. and continue until 4:30 P.M. the following Friday. Any employee on standby time who is not available when called shall lose his/her standby pay for that week. The superintendent and distribution supervisor shall determine the time of the year standby time is.recessary. ARTICLE XXXIII TANK CLIMBING PAY Employees climbing tanks or doing maintenance inside tanks shall be paid $15.00 minimum for four (4) hours or S30.00 maximum per day in addition to their regular pay. ARTICLE XXXIV CALLBACK Any employee who has left the premises after the regular shift, and is recalled for additional work shall receive not less than two (2) hours pay at one and one-half (1 2) times the regular rate of pay. When such work merges with the employee's regular day this provision does not apply. 26 171 ARTICLE XXXV LONGEVITY Section 1 Longevity pay shall mean a percentage of salary based on the length of continuous service paid each payday to employees in addition to their regular rate of pay. Section 2 Regular employees performing satisfactorily for a continuous period of six (6) years shall be advanced in pay on the anniversary date of hire by one percent (1%) of their regular rate of pay. After twelve (12) years of continuous service employees shall be advanced in pay by two percent (2%) of their regular rate of pay. After eighteen (18) years of continuous service employees shall be advanced in pay by three percent (3%) of their regular rate of pay. After twenty-four (24) years of continuous service employees shall be advanced in pay by four percent (4%) of their regular rate of pay. After thirty (30) years of continuous service employees shall be advanced in pay by five percent (5%) of their regular rate of pay. Section 3 Continuous service shall mean service with the City uninterrupted by resignation or discharge or a personal leave of absence without pay exceeding sixty (60) days in the preceding twelve (12) months. ARTICLE XXXVI CLEANING UP TIME Time shall be allowed, if necessary. Overtime shall not be allowed for a five (5) to ten (10) minute inadvertent overtime. The supervisor shall make up this time on the following day. ARTICLE XXXVII PART TIME EMPLOYEES Parttime employee shall mean an employee hired on a continuous employment basis with a regular work schedule throughout the year that normally consists of thirty-two (32) hours per week, on the average or less (1,664 hours on an annual basis) . Part time employees shall be entitled only to the rates of pay for the classification as set 27 172 forth in the Wage Plan, ARTICLE XXXIX, WAGE PLAN, and shall not accrue any other benefits, pay, privileges or conditions of employment granted by this Agreement or be sub- ject to any other provisions of this Agreement. Such other benefits, pay, privileges or conditions of employment shall be determined by the City. The work schedule of part-time employees shall not be construed as a guarantee of hours of work per day, per week, per year or days of work per week. Nothing contained herein shall be construed as preventing the City from increasing, decreasing or restructuring the normal work day or work week in anyway or from establishing work schedules of part-time employees. The decision of the City and the reason(s) therefore to change the hours of work of part-time employees shall not be a proper subject for the grievance procedure of the Agreement or the appeal procedure set forth in Chapter 400, Code of Iowa. ARTICLE XXXVIII GRIEVANCE PROCEDURE A grievance is a difference of opinion between an employee or a group of employees, or between the City and the Union with respect to the meaning, interpretation or application of any term or terms of this Agreement. The City is desirous of the equitable and prompt adjustment of problems or grievances of the employees and these shall be settled orally whenever possible between the supervisor and the employee of the department where the problem or grievance originates within five (5) working days of the date the alleged grievance occurred. The employee may request the presence of the steward at this oral discussion. The City shall not be obligated to accept a written grievance until such grievance has been discussed orally between the grieving employee and the supervisor. Step 1 Grievances not settled within two (2) but not more than five (5) working days after discussion with the supervisor may be reduced to writing and presented to the department manager. The nature of the complaint shall be clearly stated so that the department manager shall have a fair opportunity to locate the cause of the problem and settle the matter to the satisfaction of all parties concerned. The department manager shall respond in writing within five (5) working days after receipt of the grievance. If a meeting is held with the department manager, the aggrieved employee may be accompanied by the steward from his/her section. Step 2 If the department manager's written answer is not satisfactory the grievance may, within three (3) working days, be appealed to the City Manager and within thirty (30) calendar days after receipt of this appeal, be considered in a meeting between representatives selected by the City and Union. The President of the Union may be accompanied by no 28 173 more than two (2) Union representatives. The City Manager shall give a written answer within fifteen (15) working days after this meeting. Step 3 For employees under Civil Service and for issues covered by the Civil Service Act, if a grievance is not settled in Step 2, the employee has recourse of the Civil Service Act and shall follow its provisions outlined in Chapter 400, Code of Iowa. For employees not covered by the Civil Service Act or for Civil Service employees with grievances not identified under the Civil Service Act, the following procedures shall be followed: if the grievance is not settled in Step 2, within twenty (20) calendar days after receiving the City's written answer, either party may notify the other party in writing and submit the grievance to arbitration. An impartial arbitrator shall be chosen by mutual consent by the Union and the City as soon as practicable after receipt of request for arbitration. If the parties do not agree upon the selection of an arbitrator within fifteen (15) calendar days after the receipt of the request for arbitration, the Federal Mediation and Conciliation Service shall be requested to furnish a list of five (5) arbitrators. The party requesting arbitration shall first strike the name of one (1) person on the list and the other party shall then strike one (1) name and then the process is repeated. The remaining name shall be the arbitrator. An arbitrator's decision on a grievance may not change or amend the terms, conditions or applications of the Collective Bargaining Agreement. Such procedures shall provide for invoking of arbitration only with approval of the employee organization, and in the case of an employee, only with approval of the public employee. The cost of arbitration shall be shared equally by the parties. Union representatives, when carrying out procedures in Step 1 and Step 2 in the grievance procedures, shall be allowed to leave their work after the supervisor's approval and shall suffer no loss of their regular pay, not including overtime pay. The City shall not be responsible for paying Union employees involved in any matters relating to arbitration, Civil Service or Prohibited Practice Complaint proceedings. The time specified for each step in the grievance procedure may be extended by mutual agreement. ARTICLE XXXIX ABSENT WITHOUT LEAVE If an employee is absent from work without proper authorization for part or all of a work day, such absence shall be without pay and shall be grounds for disciplinary action. Absence without authorization for a period of two (2) consecutive work days shall be regarded as a resignation. 29 174 ARTICLE XXXX WAGE PLAN The following salary schedules shall represent the regular (straight time or base) rate of pay for positions covered by this Agreement: POSITION I SALARY STEP STEP STEP STEP [ STEP STEP CLASSIFICATION I GRADE A I B C D 1 E F Hourly rates effective 7/1/2017 through 6/30/2018 1 Ramp Cashier 0E-01 $14.81 $15.14 $15.45 $15.76 C $16.04 _ $16.42 I Head Ramp Cashier 0E-02 $15.76 $16.04 $16.42 $17.29 $17.63 $17.93 Parking Meter Checker 0E-03 $17.29 $17.63 $17.93 $18.42 $18.91 $19.76 Clerk 0E-04 $17.63 $17.93 $18,42 $18.91 $19.76 $20.29 Cashier 0E-05 $17.93 $18.42 $18.91 $19.76 $20.29 $20.72 ;Account Clerk I 0E-06 $19.76 $20.29 $20.72 $21.13 I $21.76 $22.25 !Senior Cashier 0E-06 $19.76 $20.29 $20.72 $21.13 $21.76 $22.25 I Custodian I ! 0E-06 $19.76 $20.29 1-$20.72 $21.13 $21.76 $22.25 Custodian II 1 0E-07 $21.69 $22.13 $22.66 $23.15 $23.75 $24.23 Laborer 1 0E-07 $21.69 $22.13 $22.66 $23.15 ; $23.75 $24.23 !Water Meter Servicev vrker I 1 0E-07 $21.69 $22.13 $22.66 1 $23.15 : $23.75 $24.23 [Truck Driver 1 0E-08 $22.13 $22.66 $23.15 $23.75 $24.23 $24.71 •Assistant Plant Operator OE-09 $22.59 $23.11 $23.67 $24.23 $24.71 $25.28 ' Maintenance Worker 0E-09 $22.59 $23.11 $23.67 $24.23 $24.71 $25.26 1 Public Safety Dispatcher 0E-09 $22.59 $23.11 $23.67 $24.23 $24.71 $25.26 Water Distribution Maintenancevwrker ' OE-09 $22.59 $23.11 $23.67 $24.23 $24.23 $24.23 $24.71 $25.26 Water Meter Repalrworker I 0E-09 $22.59 $23.11 $23.67 $24.71 J $25.26 Water Meter Serviceworker II 0E-09 $22.59 $23.11 $23.67 $24.71 $25.26 :Water Distribution EguipmentOperator I 0E-10 $23.15 1 $23.75 $24.34 $24.93 Y $25.49 $26.04 ' Plant Operator (WC) Gr. 1 I 0E-11 $23.34 $23.88 $24.43 $25.04 _ I $25.62 $26.29 . 1 Y1l"` A-f d 'f� n TnA a Tr� n Trr r mrr n r IC31 ll V�IGIdWI �VCI L� VI. Il VG- IG 41C0.VV yLH. ,OJ a1Ga. Go� I a1L.7_UL4 Laboratory Technician I 0E-13 $23.95 ' $24.51 $25.07 • $25.72 1 $26.35 Plant Operator (Cert.) Gr III 0E-13 $23.95 $24,51 $25.07 S25.72 , $26.35 Equipment Mechanic--_�..;__... 0E-14 $24,63 $25.26 $25.85 S26.45 $27.21 Maintenance Electrician !Water Meter Repairwnrker II Electronic Technician Plant Mechanic Plant Operator (Cart) Gr IV Inspector I 0E-14 $24.63 $25.26 $25.85 S26.45 $27.21 0E-14 $24.63 $25.26 825.85 $26.45 827.21 0E-16 $25.28 $25,96 $26.58 227.27 827.97 0E-16 $25.28 $25.96 826.58 S27.27 $27.97 0E-16 $25.28 S25.96 $26.58 $27.27 $27.97 0E-17 $26.82 $27.62 : 828`50 $29.27 $30.93 30 $27.16 $27.16 $27788 $27.88 $27.88 $28.77 S28.77 $28.77 $32.00 175 'POSITION SALARY STEP STEP STEP ! STEP STEP STEP [CLASSIFICATION GRADE A j B C I D E 1 F Hourly rates effective 7/1/2019 through 6/30/2020 !_ Ramp Cashier _...... 0E-01 $15.26 r $15.60 $15.92 $16.24 $16.527 $16.92 Head Ramp Cashier 0E-02 $16.24 $16.52 $16.92 $17.81 $18.16 I $18.47 Parking Meter Checker I 0E-03 $17.81 ; $18.16 $18.47 $18.98 $19.48 i $20.36 Clerk ; 0E-04 $18.16 $18.47 $18.98 $19.48 ! $20.36 ? $20.90 I. 'Cashier 0E-05 $18.471. $18.98 $19.48 $20.36 $20,90 r $21.35- , Account Clerk I 0E-06 $20.36 { $20.90 $21.35 $21.77 1 $22.42 I $22.92 ! Senior Cashier 0E-06 , 0E-06 $20.36 I $20.90 $20.36 r$20.90 4 - $21.35 $21.35 L $21.77 _ $22.42 $22.92 _7 $21.77 $22.42 = $22.92 1 Custodian I Custodian I I I 0E-07 $22.35� $22.80 $23.35 $23.85 $24.47 $24.96 I 'Laborer i 0E-07 $22,355 '.72.80 $23.35 $23.85 $24.47 1 $24.9 Water Meter Serviceworker I ; 0E-07 $22.35 $22,80 $23.35 -j $23.85 , $24.47 i $24.96 I Truck Driver 0E-08 $22.80 $23.35 r-$23.85 $24.47 j $24.96 1 $25.46 1 Assistant Plant Operator 0E-09 $23.27 $23.81 $24.39 $24.96 I $25.46 $26.02 Maintenance Worker I 0E-09 $23.27 j $23.81 $24.39 $24.96 I $25.46 $26.02 Public Safety Dispatcher I 0E-09 0E-09 $23.27� $23.81 $24.39 $24.96 $24.96 : $25.46 $26.02 1 Water Distribution Maintenanceworker 1 $23.27 $23.81 $24.39 $25.46 I $26.02 [Water Meter Repairy orker I 0E-09 $23.27 f $23.81 $24.39 $24.96 I $25.46 j $26.02 ;Water Meter Serviceworker II 0E-09 $23.27 $23.81 $24.39 $24.96 I $25.46 $26.02 :Water Distribution Equipment Operator 0E-10 $23.85 $24.47 $25.08 $25.68 : $26.26 i $26.83 Plant Operator (N1aGr. 1 0E-11 $24.06 $24.58 $25.17 $25.80 $26.39 ! $27.08 Plant Operator (Cert.) Gr. II 0E-12 $24.31 j $24.86 $25.38 $26.02 $26.63 $27.28 Laboratory Technician I 1 0E-13 $24.67 j $25.25 $25.83 $26.50 $27.15 I $27.98 Plant OperatorACerq Gr III 1 0E-13 ' $24.67 ! $25.25 0E-14 $25.38 ! $26.02 -rt $25.83 $26.63 $26.50 $27.15 $27.98 $27.25 i $28.03 $28.72 J Equipment Mechanic I Maintenance Electrician I 0E-14 $25.38 $26.02 J $26.63 $27.25 ' $28.03 1 $28.72 $26.02 $26.63 ... $27.25 _...:..._$28.03 _._. $28.72_ $26.75 $27.38 € $28.10 $28.82 $29.64 $26.75 $27.38 $28.10 : $28.82 $29.64 826.75 $27.38 I $28.10 $28.82 $29.64 ':Inspector I I 0E-17 I $27.63 $28.45 $29.36 __$30,16 $31.86 $32.97 Water Meter Repairwurker II j 0E-14 L$25.38 Electronic Technician I 0E-16 ' $26.04 !Plant Mechanic L 0E-16 1 $26.04 Plant Operator (Cert.) Gr IV 0E-16 ; $26.04 32 176 [POSITION SALARY STEP STEP STEP I STEP STEP. STEP I CLASSIFICATION GRADE A 13 C D 1 E F :Hourly rates effective 7/1/2020 through 6/30/2021 1 Ramp Cashier 0E-01 $15.49 $15.83 $16.16 I $16.48 $16.77 $17.17 Head Ramp Cashier 0E-02 $16.48 $16.77 $17.17 r $18.08 $18.43 $18.75 Parking Meter Checker _ 0E-03 $18.08 $18.43 $18.75 ; $19.26 $19.77 $20.67 'Clerk 0E-04 $18.43 f $18.75 $19.26 ; $19.77 : $20.67 $21.21 ' Cashier 0E-05 $18.75 $19.26 $19.77 $20.67 $21.21 $21.67� ,_Account Clerk! 0E-06 $20.67 1 $21.21 $21.67 $22.10 $22.76 $23.26 Senior Cashier OE-O6 $20.67 �. $21.21 $21,67 + $22.10 $22.76 $23.26 Custodian I 0E-06 $20.67 $21.21 $21.67 •` $22.10 $22.76 $23.26 Custodian 11 0E-07 $22.69 $23.14 $23.70 : $24.21 $24.84 $25.33 'Laborer 0E-07 $22.69 $23.14 $23.70 I $24.21 $24.84 $25.33 Water Meter Serticeworker l 0E-07 $22.69 $23.14 $23.70 j $24.21 1 $24.84 $25.33 'Truck Driver 0E-08 $23.14 $23.70 $24.21 I $24.84 I $25.33 $25.84 Assistant Plant Operator 0E-09 $23.62 $24.17 1 $24.76 fi $25.33 I $25.84 $26.41 Maintenance Worker 0E-09 $23.62 1 $24.17 $24.76 $25.33 1 $25.84 $26.41 Public Safety Dispatcher 0E-09 $23.62 $24.17 $24.76 I $25.33 $25.84 $26.41 Water Distribution Maintenanceworker 0E-09 - $23.62 l $24.17 I $24.76 r $25.33 $25.84 $26.41 Water Meter Repairworker I 0E-09 $23.62 i $24.17 L$24.76 $25.33 $25.84 $26.41_ I Water Meter Serviceworker II 0E-09 $23.62 i $24.17 $24.76 j $25.33 $25.84 $26.41 Water Distribution Eq pment Operator 0E-10 $24.21 j $24.84 $25.46 ! $26.07 $26.65 $27.23 I Plant Operator (IWC) Gr_ 1 0E-11 $24.41 $24.95 L. $25.55 . $26.19 - $26.79 $27.49 'Plant Operator (Cent) Gr. II 0E-12 $24.67 $25.23 $25.76 I $26.41 $27.03 $27.69 Laboratory Technician I OE-13 $25.04 $25.63 $26.22j $26.90 $27.56 $28.40 Plant Operator (Cert.) Gr ill 7 0E-13 $25.04 $25.76 � $25.63 $26.41 _ $26.41 $26.22 1 $26.90 $27.03 $27.66 $27.56 1 $28.40 Equipment Mechanic 0E-14 0E-14 $28.45 i 529,15 Maintenance Electrician $25.76 r $27.03 $27.66 ' $28.45 $29.15 'Water Meter Repairworker I I OE-14 0E-16 $25.76 $26.41 $26.43 j $27.15 $27.03 $27.66 $28.45 $29.15 Electronic Technician $27.79 $28.52 $29.25 _4 $30.08 Plant Mechanic i 0E-16 $26.43 1 $27.15 $27.79 $28.52 $29.25 $30.08 Plant OperatorlCert) Gr IV 1 0E-16 $26.43 ; $27.15 $27.79 $28.52 $29.25 $30,08 InspectorI ` 0E-17 $28.04 ' $28.88 $29.80 1 $30.61 ' $32.34 $33.46 , 33 177 POSITION SALARY STEP ' CLASSIFICATION GRADE A STEP B STEP STEP STEP STEP C D I E F Hourly rates effective 7/1/2021 through Ramp Cashier Head Ramp Cashier 6/3012022 0E-01 ( $15.76 $16.11 i L_ $16.44 ! $17.flfi+1$17.47_ $18.75 $19.08 ' $16.77 $17.06 $17.47 0E-02 $16.77 $18.40 $18_40 $18.75 $19.60 ; $20.12 $19.08 $21.03 _ Parking Meter Checker 0E-03 1 'Clerk �' 0E-04 i $18.75 1 $19.08 $19.60 I $20.12 . $21.03 $21.58 Cashier 0E-05 L $19.08 $19.60J $20.12 I $21.03 i $21.58 $22.05 .Account Clerk I 0E-06 $21.03 i $21.58 I $22.05 ; $22.49 . $23.16 $23.67 'Senior Cashier ± 0E-06 $21.03 $21.03 $21.58 I $22.05 _ I . $22.05 i -$22.49 $23.16 $22.49 $23.16 $23.67 $23.67 _y Custodian I 1 0E-06 i $21.58 i Custodian I I 1 0E-07 $23.09 $23.54 T $24.11 + $24.63 , $25.27 $25,77 taborer i OE-07 523.09 $23.54 $24.11 . $24.63 - $25.27 $25.77 Water Meter Servicewnrker I 0E-07 $23.09 $23.54 $24.11 ' $24.63 $25.27 $25.77 Truck Driver 0E-08 $23.54 $24.11 $24.63 $25.27 `. $25.77 $26.29 Assistant Plant Operator 0E-09 $24.03 $24.59 $25.19 $25.77 ' $26.29 I $26.87 Maintenance Worker 0E-09 $24.03 $24.59 $25.19 ; $25.77 $26.29 $26.87 Public Safety Dispatcher j Water Distribution Maintenanceworker - 0E-09 $24.03 $24.03 $24.59 $25.19 1 ; $24.59 $25.19 I $25_77_ $26.29 $25.77 $26.29 _ $26.87 $26.87 0E-09 Water Meter Repairworker I 0E-09 $24.03 $24.69 $25.19 1 $25.77 : $26.29 $26.87 Water Meter Servicewerker II 0E-09 $24.03 $24.59 $25.19 ' $25.77 i $26.29 $26.87 Water Distribution Equipment Operator j 0E-10 $24.63 $25.27 $25.91 $26.53 I $27.12 $27.71 Plant Operator (N/C) Gr, 1 0E-11 $24.84 $25.39 $26.00 $26.65 $27.26 $27.97 Plant Operator (Cert.) Gr. II I 0E-12 $25.10 $25.67 L 26.21 4 $26.87 j $27.50 $28.17 Laboratory+ Technician I ! 0E-13 $25.48 $28,08 $26.68 ' $27.37 $28.04 1 $28.90 Plant Operator Cert. Gr III I OE-13 I $25.48 $26.21 $26.08 $26.68 i $26.87 ' $27.50 ; $27.37 $28.04 $28.14 $28,95 $26.90 $29.66 Equipment Mechanic 1 0E-14 Maintenance Electrician 0E-14 $26.21 $26.87 ? $27.50 I $28.14 $28.95 $29.66 Water Meter Repairworker II 0E-14 Electronic Technician OE--16 $26.21 $26.87 ; $27,50 . $28.28 1 $28.14 $28.95 $29.02 $29.76 $29.66 $30.61 $26.89 $27.63 : Plant Mechanic ; 0E-16 $26.89 $27,63 . $28.28 $29.02 , $29.76 $30.61 $30,61 $34.05 Plantoperator (Cert.) Gr IV.....,___1, 0E-16 $26.89 OE-17 $28.53 $27.63 $28.28 . $29.39 $30.32 ! $29.02 :$29.76 Inspector -I- $31.15 : $32.91 34 178 Generally, the minimum step in the salary range established for a position shall be applicable upon appointment to a position in the bargaining unit. Upon promotion an employee shall be placed in the first step of the salary range established for that position, except in cases where the increase to the first step would be less than a one (1) step increase. Under such circumstances the promoted employee shall be placed in such a step in the new salary range that would provide at least a one (1) step increase. If the employee is promoted or appointed to a position in the bargaining unit and placed in the lowest step in the classification the employee's performance shall be reviewed after six (6) months and, if satisfactory, shall be advanced to the next step in the classification. If the employee is promoted or appointed to a position in the bargaining unit and placed in a step other than the starting step in the classification the employee's performance shall be reviewed after twelve (12) months and, if satisfactory, shall be advanced to the next step and yearly thereafter until he/she reaches Step F. Part time employees shall be subject to the terms of this Article except that the length of service requirements for performance advancements shall be two (2) times the length of service requirements set forth in Paragraph 3 of this Article. ARTICLE XXXXI SAVINGS CLAUSE Should any Article, Section or portion thereof of this Agreement be restrained or held unlawful and unenforceable by any court of competent jurisdiction, such decision of the court shall apply only to the specified Article, Section or portion thereof restrained or declared null and void in the decision and the remainder of this Agreement shall remain in full force and effect. ARTICLE XXXXII DURATION AND NEGOTIATIONS Except as herein provided, this Agreement shall be effective as of the first (1st) day of July, 201 7, and shall remain in full force and effect through the thirtieth (30th) day of June, 2022. Negotiations for a succeeding agreement to become effective starting on July 1, 2022 shall begin after August 1, 2021, but not later than October 15, 2021. 35 179 Signed this"' day of 'rtY"` ( , 2017. INTERNATIONAL UNION OF OPERATING ENGINEERS, AFL-CIO LOCAL#2a4 BUSIN ATIVE CITY OF DUBUQUE, IOWA MAYOR ATTEST: KEVIN IRNSTAHL, CITY CLERK 3 180 AMENDMENT TO THE COLLECTIVE BARGAINING AGREEMENT IN EFFECT FROM JULY 1, 2017, THROUGH JUNE 30, 2022, BETWEEN THE CITY OF DUBUQUE, IOWA AND THE INTERNATIONAL UNION OF OPERATING ENGINEERS AFL-CIO - LOCAL #234 181 ARTICLE - PARENTAL LEAVE Effective March 8, 2019, the following benefit will go into effect. An employee may use Parental Leave to take paid time away from work for the birth or the adoption of a child under 18 years old. Eligible employees will receive their regular base pay (plus longevity) and benefits for twelve (12) weeks following the date of birth, adoption event or foster -to -adopt placement. If both parents are eligible employees, each will receive the leave benefit. Parental Leave will run concurrently with Family and Medical Leave and must be used within twelve (12) months following the birth or adoption of the child. Parental Leave will not reduce eligibility for other types of leaves such as maternity leave, sick leave, family sick leave, vacation, causal days, compensatory time and holidays. Parental Leave can be taken intermittently. Medical certification required through the FMLA leave application will be used for the evaluation of eligibility for Parental Leave. An eligible employee will be required to furnish appropriate adoption documentation, such as a letter from an adoption agency, or from the attorney in cases of private adoptions. Multiple births or adoption (for example, the birth or adoption of twins) does not change the eligibility or conditions of the Parental Leave, including the length of Parental Leave granted for the event. Parental Leave cannot be used for absences from work prior to the birth or placement of a child. Employees in any of the following circumstances are not eligible for Parental Leave; • Surrogate mothers who do not maintain parental rights • Biological parents (mother or father) with no parental rights or where the child is no longer in the parent's custody (e.g., child is placed for adoption) • Miscarriage or death of a child • Being named as a guardian • Entering into a foster parent arrangement • Adopting a spouse's child ARTICLE XVII — JOB POSTING 182 Effective July 1, 2019, this article will be deleted from the Agreement. ARTICLE XXII - SICK LEAVE SECTION 6, PARAGRAPH D Effective July 1, 2019, this paragraph will be deleted from the Agreement and replaced with the following language: The City reserves the right to require proof of illness, injury or other uses of sick leave as provided in this Agreement. Proof of illness or injury may include, but Is not limited to, a certificate signed by a physician which states that the employee was incapacitated for work for the period of his/her absence, If requested by the City, the statement may also indicate whether the employee is capable of performing the essential functions of his/her position upon return to work. The cost of providing a physician's certificate will be borne by the employee. Failure to provide a physician's certificate containing the necessary information may result in the loss of sick leave payment. Abuse of sick leave or fraudulent use of sick leave is cause for disciplinary action. SECTION 8 Effective July 1, 2019, the following benefit will go Into effect: At the discretion of the Department Manager, each pay period an employee will have either fifty (50) percent of their sick leave accrued above the maximum accrual of one hundred and twenty (120) sick days credited to their vacation accrual, up to the maximum vacation accrual amount, or be paid at their regular rate, plus longevity, for fifty (50) percent of their sick leave accrued above the maximum accrual of one hundred and twenty (120) sick days. If an employee is at their maximum vacation accrual, they will be paid at their regular rate, plus longevity, for fifty (50) percent of their sick leave accrued above the maximum accrual of one hundred and twenty (120) sick days, 1. ARTICLE XXXX — WAGE PLAN • Effective July 1, 2022, through June 30, 2023, the wage plan in effect on June 30, 2022, shall be increased by 3% across the board. • Effective July 1, 2023, through June 30, 2024, the wage plan in effect on June 30, 2023, shall be Increased by 3% across the board. 183 }ROSITION SALARY STEP I STEP STEP STEP STEP STEP CJ CLASSIFICATION ................. GRADE _I A . 1 B �_ ._ C 1 D E F Hourly rates effective 7/1/2022 through 6/30/2023 * 1 ' RamP..._...___._-.._._I�.._........._-----.I .__.... ._--_ i $17.9_9 HeadC Enforcement I 7 r 0E-01 $16.23 $16.59 $16.93 $17,27 $17,57 �t-iead Ramp Cashier DE-02 $17.27 $17.57 $17.99 $18,95 $19,31 $19.65A parkingcement Officer 0E-03 , $18.95 $19.31 $19.65 $20.19 $20.72 I $21.66 , Clerk _._. __.........__.,_-... _I 0E-004 `$$19`31 : � _-$20.72 $21.72 $21.66 L $22.23 Cashier . $19,65 $20.19 _ $20.72 $21.86 2.71 Acc ount CIerer �.. ,__„ __ ^ OEE-06 ? $2.66 • $22.23_1 $22,71 J, $23,16 23.85 $24.-3 Account Clerk I �.._._.__ �...--._--OE-D6 � , $21.66 $22.23 $22.71 _$23.16 $23.86 $24.38� . 9Ior Cashier F I $ $24.38 Custodian I 1 0E-06 _.__I•.-$21,66 $22.23 $22.7.1 $23,16 $23,85 , $24,38 ... $26,54 CustodianI SerNcevrnrker 1 _.3. $23 78 •._ $24,25 $24,83 I $25.37 $26.03 I OE-07 !Laborer1 0E-07 -_._.._..t _ •!Water Meter ervic ~-- OE 07 ! $23.78 $2 __..._._.1 5.37 ..3. _..r $26.54 Truck []river _ __ OE 08 4.25 4.83 $25.37 ! $26.03 $28.54Y --._.._..�.._-� 3.78 4.25 $24,83 $25.37. $26.03 � $26,54 :Assistant Plant Operator OE-09 Tr $24,75 $25.33 'r $25.96 $26.54i $27.08_W $27.68 Maintenance Worker 0E-09 (_$24.75 $25.33 I $25.95 $26_54 $27.08 $27.88 Public Safety Dispatcher _. _.•__._ ..._ 0E-09 j $24.75 � $2� 33 __$25.95 2G 64 �--------•_ P �....� -_.. $27,08_.__.27,68.. Water Distribution Malntenanceworker '. 0E-09 $24.75 $25,33 ; $25,95 $26 54_ $27.08 $27.68 Water Meter Repairworker I 0E-09 $24 75 . $26 33• I $25.95 $26.64T $27 08 I68 27. Wilier Meter Servicev orker II ' 0E-09 I $24 75 $25 33 $25.95 $26.54 $27 08 I $27.68 Water Distribution Equipment Operator 1 0E-10 4 $25 37 $26 03 • $26.69 ! $27 33 -� $27 93 $28. -4 Plant OperatorIN/C_j Gr 1 . .• OE 1.1 •. $25 59 - $26.15 $26 78 . $27.45 $28 08 $28.81 Plant Operator (Cart,) Gr. II '.. . - 0E-12 _ $25 85 $26 44 $27 00 i $27.68 $28.33 $29.02 Laboratory Technician 3 _. .._ _._ .. -_ DE-13 $26.24 .. $26.86 $27 48 $28,19 _pe..88 I $29 77 _ Plant Operator (Cert.)_Gr l II _ ` _ .•OE-13 _$26.24 .- ..$26.86_. , $27,48. ,' $28.19 $28.88 $29.77 m Equipent Mechanic....-....__._ ................... ;........ 0E-14$27 68 $28 33 .. $27 00 L .. _._. _W....7 _._ _._...... ; $28.98 _, $29.82 $30.55 , Maintenance Electrician _ ._.._0E-14 $27.00 $27.68 $28,33 $28,98 .$3 $29.82 $30__55 _ Water Meter Repalrworker II 0E-14 . $27 D0 $27 68 $28 33 ` $28,98 $29.82 $30.55 Industrial Electronics Technician_ _• -- --, 0E-16 $27 70 $28 46 • _ $29 13 $29 89 030`65 $31.53 I Plant Mechanic GE 16 $27 70 $28.46 $29 13 $29.89 I $30.85 $31,,53 R- .. - -- t. Gr IV_._. .^... 0E-16' $27.70 $28.46 • $29.13._G-..$29.89 $30.65 L..$31,53_ Plant 0 erator Cart. Inpector_I OE 17 : $29 39 $30 27 $31.23 , $32.08 $33.90 $35.07 184 w•.<<. w,w. .. $18.53 $19.52 $19.89 $20.24_i ParkIng_Enforcement Officer C 0E-03 $19..521 $19.89 $20,24 $20.80 $21.34 $22.31I Clerk 1 OE 04$19.89 $20,24 $20,80 $21.34 _$22.31 $22,90 i 1Cashfer __...___. __ f 0E-05 .}. $20.24 $20.80 $21.34 $22.31 $22.90 $23.39 Account Clerk 1 OE-06 1 $22.31 $22.90 $23.39 $23,85 $24.57 $25.11 1 Senior shier ._ 3 39 ..__8..__._ Sanior Cashier ___ QE•06 _ $22.31 $22,90 $23,39 $23.85 $24.57 r-$25,11 Custodian I _.... _....__.._.._ �E"06 $22.31 $22.90 023,39 $23.85 $24.67 $25.11 CusLaborer _._.. __._._..._. OE 07 $24.49 $24.98$26,57L $26.13 $26.81 $27.34 iWborer I? __._.-._......__.-_. __......_.....__.__..__.__.___......,._,-_ ._._ , $24.98 I $25.57 ' $26.13 r $26.81 $27.34 ater Meter Servlceworker I OE 07 $24,49 _ ._._ L.___._.----..._._.._.... _.._ _.._.._ .._.._ _ _._ _ _.__� 7 _..�_. I $24.98 j $25.57 $26,13 $26.81 _$27.34 Truck Driver 1 � 0E-08 $24.98 I $25.57 ! $26,13 4 $26,81 $27.34 I $27.89 _ I Assistant Plant 0 erator_...,.__..........._...___L_......_.._ ..�............ ..... ....._... _.__...._ _..w......_ -- !._.___......_...__.-._....._-._.___.____-._.__._..._....�E-09 I $25.49 I $26.00 j $26.73 $27.34 $27.89 $28.51 O t !Maintenance Worker 0E-09 $25.49 $26.09 1_$26,73 $27.34 $27.89 $28.51 'Public Safety Dispatcher I O_ 0E-09 $25.49 $26,09_ _$26.73 $27,341 $27.89 $28,51 'Water MeterRR�alrworker LV-��."�. W..� W.--0C-09 I' $25.49 I _$26,09$26.73 r $27.34 �27,89 � $2$,61 Water Meter Serviceworker II 0E-09 $25.49 $26.09 1 $26,73 $27.34 27.89 $28.51 mm Water Distribution Elament Operator OE 10 $26,13 $26 81 $27.49 $28.15 $28 77 $29.40 ci_u Plant Operator (W C) Gr. 1 ' ...._ OE 11 • $26, 36 $26 93 .7 $27.58 $28.27 $28. 92 $29.67__ Plant Qperator. (Cert)_Gr. II _ .I OE 12 $26.63 $27 23 $27 81 $2851 $29 18 $28 89 Laboratory Technician l _... ._.. _... .._ 0E_13 • $27 03 $27 67 $28.30 $29.04 _$29 76 w..$30.66 .. Plant Operator (Cert) Gr III _ 0E-13 , $27.03_ , $27 67_ $28.30 I $29.04 $29.75 $30.66 Equipment Mechanic _.. _.-. _---..... 0E-14 .$2i 81 _ �$28 51 $29 18 1 $29.85 $30.71 $31..47 Maintenance Electrician 0E-14 ' $27.81 $28 51 $29 18 $29.85 $30.71 $31.47 • Water Meter Re alrworker II 0E-14 $27,81 $2.8.51 $29..., ._.9.85 $30,71 $31.47 Industrial Electronics .._.._..._.n__ia_-...._..... T._ ____ -_ r__$2_.__._. _._.-_00 .. $30.79 $31.57 .._$322.48m Plant Mechanic Technician .___..__._ 0E-16 8.53 $29.31 $30.00 $3 ... _ .. Plant Qperator Cert.) Gr IV QE-95 $28.53 • $29:3 $30.00 $30.79 $31.57-. .$32.48 a �_. ..i.._.. $28 53 . $29 31 . $30.00 ..L . $30.79 ._ . $31.57 ., $32248_ -- .._.� _. ..... _._..._. r ....._ ......_..._$36. Inspector I 0E-17 $30,27 $31.18 $32,1T $33,04 $34.92 $36.12 [POSITION I SALARY I STEP I STEP STEP STEP STEP � STEP CLASSIFICATION I GRADE I A i B Hourly rates effective 7/1/2023 throuph6/30/2024 ! Ramp Cashier .._. 0E 01 _ $16 72 ' $17.09 $17.44 $17.79 $18.10 I $18.53 Head Ramp Cashier I 0E-02 -.._._.__..__...... 185 All other language of the Agreement.ln effect from July 1, 2017, through June 30, 2,022, plus the changes agreed upon 1n t.his Amendment, shall remain in full force and effect through the thirtieth (30t") day of June 2024. Signed this au, day of Autcy \ , 2019. INTERNATIONAL UNION OE OPERATING ENGINEERS, AFL-CIO LOCAL #234 V 13USINESS REPRESENTATIVE CITY OF DUBUQUE, IOWA MAYOR ATTEST: „61re-V KEVI FIRNSTAHL, CITY CLERK 186 Department 5-Year Capital Budget 1:Vor1 lw:wan .•'Lc.:4'414n..-:,a!:r 24 :.xlrr.!E S, aeatl54 daa54'trni,4t..,y41s --. - _ _.:_fvans•{rk la 1.Mar1,1rqfoo,i..lY+idpd,1.,6131.e11nrxnra:mrald, 5. 6erdo rt,,64.:.Now........ .,*Kra*. we Cann•Ndo-,. . .3 I .tiar Rf7fl 1.....pe..17421 /rcp.xA1,4.21 PrePa.1CY2! Prwa..di 34 la....**1 PtE. Yrcpe.md FrX, Fin 1.a Car.5m.ni VrImIly Fa. &Ma Pny. ThIa . 240.774S 54.n4raa Nrt 2.48,333:4 Palk Sp kg LW. r 7404=4 Wiwi t5rEAtricaaS NY.10e4_ 3.J4., 37S.t:L 3N6TOr . 3 744-2N4 A.Nk LadlTwAcrawemem •:L,6:3 r . 7115 I22.17: . . V..S{r s.47{C ....•. 3 7d4•1334 30111E K+E:7]6 4,6.01) 3 7.4•7A5 Nf7N>'dwb 1i.`;}}G 251,{0) a�7f ,i 3 M0•7$9$ Rwkcraina 5.1..11 t.,i„ ll.tir 11'.'r _.. �.. .. • 74976 3 x44.l,04. 7a.410...*-a. KA.. i./,.. 141.]3 7,OW . 1. ..qx.. %KO 3 547lllnl a..Yl..r Ind 4Vtl• V. 1.lrrv. L{74.75 3 7404=4 F`.+.7i..e., Stu Nal..4iIr. :4-%6 3 1.46.0 0l Mewl! L prtt Leadlde.5luelrava ' _A{, r, _ ...XL .. _0A-1] 10.000 10 000 3 700-10001 H1PwYF5.r.pr tlar, hb47ia'wa . 3 314433:( IMr&:+d 1.40awn ena 7).{r.: 3 741.3743 ... :. Wow ,`+rlke Lam:••:' f...,- a-'fl - :Y.,,X* MTGE& d 7.4.76)3 I w..,y1•-}47nkr 2.. N1A11 51h393 .S X 373.375 -1i2. 25.. 77 35D.00 :4E00) - 050 MO Op ■ 7.42525 5. ....,x 44.,140 I 69914W 4 WI.7575 5'. ..: SY5' hF1 5$7E37 2crrr, 25,:i.0 AOW .1 TM-7id.4 , . ...f-.rs FY.v. 11540 X.= X0) }k _C. n.:.x} 70(10 10,437 4? I-. 5 v. . - i , h' b,U.1 701vP 7:,5.Y. 7.4550 . 217.7137 V .. 63.0[.] M.:KC 77 X) 13.Kp 4 7.14.77?r. L•711.967 1T7.1313 4 7yp7:.. :C{.}% 1y46,{0p . 7.Q.e%.. .. . 12].194 1. 4.074 1 7p.11N1 1r4:.. i;gl.r.l.'-I.... . . qp. -. 7 744,1,1001 L0T F.I'Y 24713x1r4 5, K.:: [by.YMaCaxO..Orrn:•..•:•-wana.r.1_ if4 CE:3+ as• rM.M.ldY.rdm 7 .7 41679 •::.. ,:,ip LW}11.d..bedlorr.anef....8.p+. kt416 .. _ 5414i7L3T L I 5 - :a..y.. .,kiwiden ham WaLW 1444h krp. Y'dCC -, Ap 179.170 - „ 51.7..?•_ 4 , , .. .- e 5 . ., O 5 744•1594 5.W. drtSY '.17:.7 (4 .. 3 7.47912 4V.n4 End irraa..4.e1 5 7W 11dry !Neu End &Mr1:1WlI .. .. 5 740-1747 C.4.s.d.L4*0nn 11s1.r.0 ..• . : __ ...� Rme elarTwmr 77d 0 .3&497 176LID 1L74LC ;A}710 7e4270 7: 31I'1.Y%1 4 .. {.1,37} . .. XAC 4'1- i • 55'n. . 0.,. . ¢! { Ol ...Cop . . Wm, 1r i-nnw .. 0 ISTCON. 4E1td.672 • T7Ti4 J4.10.dz7 2.112,7470E ].70),8134C 1,777,4000] 03.7314D I.510?71C0 1dA730910 187 CeII Phone Tower Leases The current custodial responsibilities of the leases related to the cell phone towers that are located on any water department property rides with the engineering department. Please contact Project Manager at extension 4272 with any questions. 188 American Water Works Association Contact Information Established in 1881, the American Water Works Association is the largest nonprofit, scientific, and educational association dedicated to managing and treating water. With approximately 50,000 members, AWWA provides solutions to improve public health, protect the environment, strengthen the economy, and enhance quality of life. David LaFrance, Chief Executive Officer 6666 West Quincy Avenue Denver, CO 80235-3098 (303) 347- 6135 dlafrance@awwa.org www.awwa.org The Iowa Section of the American Water Works Association is comprised of drinking water professionals and water quality advocates dedicated to the promotion of quality drinking water for the citizens of Iowa. Its purpose is to support its members and young professionals through accurate and balanced educational forums, communication, and support of technical, legislative, and regulatory activities. David Scott, Executive Director, Iowa Section AWWA 100 Court Avenue, Suite 203 Des Moines, IA 50309 (515) 283-2169 dave.scott@awwa-ia.org www.ia-awwa.org 189 Homeland Security Jeremy Sroka/REP Program Manager Iowa Homeland Security and Emergency Management Joint Forces Headquarters 6100 N.W. 78th Ave Johnston, IA 50131 (515) 323-4321 (319) 540-1083 CeII (515) 323-4208 Fax Jeremy.sroka@iowa.gov 190 Iowa Department of Natural Resources Contacts Iowa Department of Natural Resources Water Supply Staff Roster Name/Region Phone Areas of Responsibility Title Water Supply Engineering Section: Engineering, DWSRF, Water Allocation & Use, Private Wells, Contract Administration Mark Moeller, PE 515/725-0275 Program Administration Section Supervisor Michael Anderson, PE 515/725-0336 Water Allocation & Storage Permits, Security, DWSRF Sr. Environmental Engineer Taroon Bidar, PE 515/725-0278 Construction Permitting, DWSRF, Design Standards Sr. Environmental Engineer Lanie Boas, El 515/725-8445 Construction Permits, Water Use Permits Environmental Engineer Jennifer Bunton, PE 515/725-0298 DWSRF, Viability Assessment, Construction Permits Sr. Environmental Engineer Bob Campbell, PE 515/725-0222 Construction Permits, DWSRF Environmental Engineer Daryl Enfield, PE 515/725-0285 Construction Permits, DWSRF Environmental Engineer Chad Fields 515/725-3407 Water Allocation & Use Modelling, Source Water Tracker Geologist 3 Charlotte Henderson 515/725-0341 Water Use Reporting & Conservation Enforcement Sr. Environmental Specialist Gabe Lee, PE 515/725-2990 Construction Permits, DWSRF Sr. Environmental Engineer Diane Moles 515/725-0281 Rules & Policy Development, Reporting, Implementation Executive Officer 2 A. J. Montefusco, PE 515/725-0277 Construction Permits, DWSRF Environmental Engineer Jim Neleigh 515/725-0276 Water Use Permits, Registrations Environmental Engineer Justin Pettit, El 515/725-0292 Construction Permits, Water Use Permits Environmental Engineer Robert Rowden 515/725-8343 Source Water Phase 1 Assessments Geologist 3 Skipp Slattenow, PE, CGP 515/725-0461 Construction Permits, DWSRF, Water Use Permits Environmental Engineer Sara Smith, Ph.D., PE 515/725-0433 Construction Permits, DWSRF Environmental Engineer Russell Tell 515/725-0462 Private Well Permit Program; Well Drilling Sr. Environmental Specialist Deborah Williams 515/725-0290 Water Use Permits, Geothermal Wells Geologist 3 Water Supply Operations Section: PWS Compliance & Enforcement, Database Management, SRF Environmental Clearances, Operator Certification, & Laboratory Certification Corey McCoid 515/725-0401 Program Administration Section Supervisor Jane Enfield 515/725-0463 Operator Certification Exam Coordination Administrative Assistant 2 Hal Frank 515/725-0342 SDWIS, Compliance/Enforcement, Public Notice Environmental Specialist Jeanne Johnson 515/725-0327 SRF Program Assistance; Contracts Administrative Assistant 1 Marie Leat 515/725-0358 Regions 1 & 2-Permits, Compliance, and Enforcement Environmental Specialist Kathy Lee 515/725-0343 Laboratory Certification Program Sr. Environmental Specialist Anne Lynam 515/725-0280 Permits, Compliance, and Enforcement Sr. Environmental Specialist Cecilia Naughton 515/725-0289 Region 1 & 6-Permits, Compliance, and Enforcement Environmental Specialist Chris Robinson 515/725-0359 Records Clerk Advanced Becky Schwiete 515/725-0295 Permits, Compliance, and Enforcement Sr. Environmental Specialist Laurie Sharp 515/725-0284 Operator Certification Program Program Planner 2 Chris Spoelstra 515/725-0339 Region 4, 5 & 6-Permits, Compliance, and Enforcement Environmental Specialist James Warren 515/725-0297 Region 3 & 4-Permits, Compliance, and Enforcement Environmental Specialist John Warren 515/725-0283 Region 1-Permits, Compliance, and Enforcement Environmental Specialist Patti Cale -Finnegan 515/725-0498 DWSRF & CWSRF Program Coordinator Executive Officer 3 Jean Mayne 515/725-0487 SRF Environmental Review Specialist Environmental Specialist Lee Wagner 515/725-0992 SRF Environmental Review Specialist Environmental Specialist Tiffany Wilson Lillard 515/725-0261 SRF Environmental Review Specialist Environmental Specialist Field Services & Compliance Bureau: Field Offices IDNR Region 1 563/927-2640 Sanitary Surveys, Site Surveys, Technical Assistance Manchester IDNR Region 2 641/424-4073 Sanitary Surveys, Site Surveys, Technical Assistance Mason City IDNR Region 3 712/262-4177 Sanitary Surveys, Site Surveys, Technical Assistance Spencer IDNR Region 3a 712/732-8350 Sanitary Surveys, Site Surveys, Technical Assistance Storm Lake IDNR Region 4 712/243-1934 Sanitary Surveys, Site Surveys, Technical Assistance Atlantic 191 IDNR Region 5 515/725-0268 Sanitary Surveys, Site Surveys, Technical Assistance Des Moines IDNR Region 6 319/653-2135 Sanitary Surveys, Site Surveys, Technical Assistance Washington 192 0 Consultant Contract Information IIW Engineers & Surveyors, PC Pat Ready 4155 Pennsylvania Ave Dubuque, IA 52002-2628 (563) 556-2464 WHKS Tony Zelinskas PE 1701 Route 35 North East Dubuque, IL 61025 (815) 747-8833 Veenstra & Kimm, Inc. Steve Thompson 3000 Westown Parkway West Des Moines, Iowa 50266 (515) 225-8000 or (800) 241-8000 Westrum Leak Detection Inc Noel Westrum Owner 3226 360th Street Stratford, IA 50249 (515) 838-2222 or 888-500-443 Jacobs Engineering (Formerly CH2M Hill) Tony Myers, PE 1610 N. 2nd St. Suite 201 Milwaukee, WI 53212 (414) 469-7682 Tony. myers@jacobs.com WWW.jacobs.com 193 Plant Vendors -Maintenance Company 3E Electrical Alliant Energy Altorfer Cat CH McGuiness ComElec Black Hills Energy Cummins Central Power Evologics Hutcheson Engineering Leslein Trucking Maquoketa Electric Mulgrew Oil Paisley Trucking Paulson Electric Peerless Van Meter Van Meter Zimmer & Francescon Product Kohler Generator Electricity Generator Boilers Asbury Generator SCADA Programming Aurora Pumps Sludge Hauling Electricity Gas/Oil Lime Delivery Well Service SCADA Electrical Supply Fairbanks Pumps Contact Phone Number 194 Chemicals CompanyNendor # Chemical Contact Phone Number Airgas (10940) CO2 Chem-Sult (1422) Polymer Graymont Western Lime (3914) Lime Leslein Trucking (2599) Sludge Hauler Paisley Trucking (8813) Lime Hauler Rowell Chemical (10733) Fluoride Vertex (3826) Sodium Hypochlorite Water Solutions (9738) Phosphate 195 Distribution Vendors & Contractors EXAMPLE LIST ONLY Company Contact Phone Numbers Eastern Iowa Excavating & Concrete Ehrlic Excavating Gansen Excavating Horsfield Construction McAuliffe Excavating McDermott Excavating Portzen Construction Top Grade Excavating 196 Company Contact Phone Numbers Top Grade Excavating (Continued) 1 Tschiggfrie Excavating 1 1 • River City Paving/Stone Selco 197 PLUMBING & BACKFLOW CONTRACTORS EXAMPLE LIST ONLY Company Contact Phone Numbers Da!sing Master Plumber Dubuque Plumbing Jaeger Plumbing Midwest Backflow Miner Plumbing MIT Plumbing MMC Mechanical Modern Piping Molo Plumbing Mr. Rooter Precision Plumbing Service One Total Plumbing Willenborg Plumbing 198 DISTRIBUTION MATERIALS VENDORS EXAMPLE LIST ONLY Company Contact Phone Numbers AY McDonald (McDonald Supply) 1 Brown Supply Core & Main 1 'NM 1 Dubuque Hose & Hydraulic J & R Supply 1 199 Company Contact Phone Numbers Municipal Supply 200 i PLUMBING & METER SUPPLY VENDORS Company Contact Phone Numbers Ferguson Waterworks Neptune Technology Group First Supply .=1F. McDonald Supply 201 MISCELLANEOUS CONTACTS Facility Contact Phone Numbers Asbury Plaza (Rubloft Maintenance) Advanced Data -Comm Dubuque Community Schools Fischer Companies Hillcrest Jeld-wen Loras College McGraw Hill Nordstrom's Plaza 20 Aramark Queck Real Estate Sisters of Charity BVM Soccer Complex Tower Hills Trailer Park Tri State Dialysis Evenings and holidays phone is answered by an answering service. 202 Ask for Hemodialysis Nurse (on -call)* Facility Contact Phone Numbers Airgas Alliant Energy American Fire Black Hills Consolidated Locators Dubuque Hose IIW Engineering Martin Equipment Mediacom Menards 203 CURRENT OBJECTIVES AND PERFORMANCE MEASURES WATER DEPARTMENT The Water Department ensures our community has high quality, safe, reliable and affordable drinking water. Water Department Administration Plant Operations & Maintenance Water Distribution Water Meters SUCCESS IS ABOUT PLANNING, PARTNERSHIPS AND PEOPLE LEADING TO OUTCOMES PEOPLE Employees of the Water Department are provided training to ensure the maintenance of the appropriate licenses required by the Iowa Department of Natural Resources. Other job -related educational training is provided to broaden employee skills and increase productivity. PLANNING The Water Department is engaged in conscientious, strategic planning which allows for maintaining compliance with the state and federal regulatory agencies in order to provide the highest quality, safe and cost effective drinking water possible. PARTNERSHIPS The Water Department is involved in Community Activities/Partnerships/ Outreach programs such as Water Conservation Educational Program and the Smarter City Initiative. The Water Department provides tours of its Eagle Point Treatment Plant to local schools and organizations. -1- 204 $10, 000, 000 $8, 000, 000 $6, 000, 000 $4, 000, 000 $2, 000, 000 $0 WATER DEPARTMENT FY 2019 FY 2020 FY 2021 Full -Time Equivalent 25.87 26.37 26.07 Resources Support $9,474,916 l♦ FY 2019 $10,497,358 Operating Revenue FY 2020 $11 ,333,793 FY 2021 The Water Department is supported by 26.07 full-time equivalent employees, which accounts for 21.86% of the department expense as seen below. Overall, the departments expenses are expected to increase by 9.74% in FY 2021 compared to FY 2020. Expenditures by Category by Fiscal Year $ 3, 500, 000 $3,000,000 $2, 500, 000 $2,000,000 $1, 500, 000 $1, 000, 000 $500,000 $0 asuadx3 aahoIdw • FY 2019 r � c 0 m FY 2020 • FY 2021 a 0 sa6Jeya 6uliaaui6 -2- 205 WATER DEPARTMENT Administration Mission & Services The City of Dubuque Water Department is dedicated to producing and delivering drinking water that is in compliance with all state and federal drinking water standards. We continually strive to adopt new and better methods of delivering the best quality drinking water to the citizens of Dubuque in the most cost-effective manner. Water Department Administration is responsible for the preparation of operating and capital budgets, interacting with the state and federal regulatory agencies, evaluation and coordination of treatment facility operations and the water distribution system functions. Water Administration Funding Summary FY 2019 Actual FY 2020 Budget FY 2021 Requested Expenditures $3,809,223 $4,546,855 $4,771,692 Resources $13,923 $— $— Water Administration Position Summary FY 2021 Water Department Manager 1.00 Confidential Account Clerk 1 .00 GIS Specialist 1.00 GIS Intern 0.50 Total FT Equivalent Employees 3.50 Performance Measures �ancially Responsible, High -Performance Organization Performance Measure (KPI) Target FY18 FY19 FY20 Performance Actual Actual Estimate Indicator 1 Activity Objective: Maintain a financially -viable water utility. # of staff who completed annual training (hrs) to support CEUs and professional 20 15 20 30 development in emergency response Reduction of Water Quality Issues per 100 miles of Pipe <20 22 30 22 % of lost/unaccounted for water <18% 18.9% 18.9% 17.8% % of projects completed within the program budget 100% 100% 100% 100% Operating cost coverage for water (Total operational Revenue/Total Operating Cost) 1.0 1.14 1.04 0.97 # New connections and partnerships (per year) 1/yr 3/yr 2/yr 3/yr -3- 206 WATER DEPARTMENT Plant Operations and Maintenance Overview Plant Operations and Maintenance ensures that water used for domestic, commercial and industrial purposes is high quality and is supplied to meet the needs our community. We are responsible for the management of equipment and treatment process of the City's drinking water in compliance with all federal and state water quality standards. Over 200 tests per day are performed by water treatment plant operators. In addition to these tests, the Dubuque W&RRC Laboratory performs over 60 bacteriological analysis of the drinking water on a monthly basis. Other compliance - related testing is performed by the University of Iowa Hygienic Laboratory. All of these analytical measures ensure the water reaching homes is of drinking -water quality. Plant Operations and Maintenance Funding Summary -111 FY 2019 Actual FY 2020 Budget FY 2021 Requested Expenditures $2,427,854 $2,468,782 $2,510,781 Resources $1,716 $— $.— Plant Operations and Maintenance Position Summary FY 2021 Electronic Technician 1.00 Equipment Mechanic 1.00 Plant Operator II 1.00 Plant Operator IV 6.00 Total FT Equivalent Employees 9.00 Performance Measures City Council Goal: Sustainable Environment Performance Measure (KPI) Target FY18 FY19 FY20 Performance Actual Actual Estimate Indicator 1 Activity Objective: Provide water treatment and distribute high -quality, clean drinking water that meets or exceeds drinking water regulations. # of Regulatory Compliance as No Violations 0 0 0 0 Water treated and produced (MGD/Plant O&M) 1.1 0.79 0.75 0.75 Cost effectiveness ratio of the treatment operation. (O&M costs, thousands per million gallons) 1.0 0.94 0.99 1.03 The 2018 Water Quality Report can be downloaded at: http://www.cityofdubuque.ora/waferquality -4- 207 WATER DEPARTMENT Water Distribution Mission & Services The function of the Water Distribution Team is to safely transport potable water from the source to point of use. Distribution is also responsible for the machinery, equipment, materials and personnel required to repair main breaks; install water mains, control valves and fire hydrants and assist other sections of the Water Department. It is our goal to operate and maintain a water distribution system consistent with established procedures recognized by the American Water Works Association for efficient management practices and to meet Federal, State and local rules and regulations. Water Distribution Funding Summary= FY 2019 Actual FY 2020 Budget FY 2021 Requested Expenditures $2,691,664 $2,328,838 $2,817,199 Resources $9,299,582 $10,378,220 $11,192,514 FY 2021 Equipment Operator II 2.00 Water Distribution Maintenance Worker 4.00 Water Distribution Maintenance Worker 0.50 Water Distribution Foreman 1 .00 Water Distribution Supervisor 1 .00 Water Engineering Assistant 1.00 Custodian I 0.07 Total FT Equivalent Employees 9.57 Performance Measures City Council Goal: Financially Responsible, High -Performance Organization Performance Measure (KPI) Target FY18 FY19 FY20 Performance Actual Actual Estimate Indicator 1 Activity Objective: Ensure the integrity of the distribution system piping system. # of breaks per 100 miles of pipe <11 21 19 23 Operation & 10% of system valves annually Hydrant effectiveness (out of service rate) <1% or 25FH 775 128* 134* 775 <1% <1% 0% <1% O&M costs for water per 100 miles of pipe (thousands per 100 miles) <343** 398 311 508 Insufficient data recorded during the reporting period. — Based on 3year running average The Water Department's Distribution Crew is available 24/7/365 to repair water mains and reduce service outages, minimizing the time customers are without water. DID YOU KNOW? The distribution system is composed of 325 miles of water mains ranging in diameter from 4" up to 30"; 7,750 control valves; and 2,541 fire hydrants -5- 208 WATER DEPARTMENT Water Meters & Backflow Prevention Mission & Services The Water Meter Team provides dependable meter operations and maintenance. The work performed includes installation, testing, cleaning, repairing and and reassembling meters as required. The Meter Team also addresses pressure issues, performs water use investigations and manages the Backflow Prevention Program. The work is conducted in compliance with local, state and federal requirements. Water Meters Funding Summary FY 2019 Actual FY 2020 Budget FY 2021 Requested Expenditures $517,031 $494,598 $539,806 Resources $151,704 $119,138 $141,279 Water Meters Position Summary FY 2021 Water Meter Repair Worker I 2.00 Water Meter Repair Worker 11 1.00 Water Meter Inspector 0.00 Water Distribution Maintenance Worker 1.00 Total Full -Time Equivalent Employee's 4.00 Performance Measures City Council Goal: Sustainable Environment Performance Measure (KPI) Target FY18 FY19 FY20 Performance Actual Actual Estimate Indicator 1 Activity Objective: Minimize the possibility of contamination in the distribution through the installation of backflow prevention devices. High Hazard services, by definition, to participate in the backflow prevention 100% 98% 99% program 98% C4] City Council Goal: Financially Responsible, High -Performance Organization 1 Activity Objective: Respond to customer inquiries in a timely manner to maintain consumer confidence in the water utility. Respond to technical meter service issues per 1,000 accounts <150 137 178 199 Enhanced meter reading accuracy, larger users: O&M on all large meters (>3") per 24/yr N/A 12/yr 24/yr AWWA standards (Ig meter/yr) -6- 209 REPORTS The following list of reports are submitted on a regular basis by the Water department: 1. Iowa Department of Natural Resources monthly operating report is due the 10th day of each month, submitted electronically by the Water Plant Manager. 2. Iowa Department of Natural Resources Water Usage Report Due January 31st of each year. 3. Iowa Department of Natural Resources Tier 2 Chemical Report Due March 1 st of each year. 4. Water Operation Permit Annual Sampling per schedule set in the permit. Sample container order via University of Iowa State Hygienic Laboratory. 5. Consumer Confidence Report planning starts in March after receipt of the official notice from the Iowa Department of Natural Resources. Tagline added to utility bills in May and June. Final documentation ready for submittal to the IDNR no later than July 1st of each year. 6. Lead and Copper Rule sampling and testing. Reduced sampling. 30 samples per year. Assistance from GIS and Meter teams. Confirmation of sample sites is required. Report to customers within 24hours if level exceeds action level, or within 30 days of receipt of results. Notification to the IDNR within 3 months of the end of the monitoring period. 7. City Council Goals and Priorities Status Report sent to City Manager Quarterly 8. Department Coordination Team Meeting with managers of the Engineering Department, W&RRC, and Public Works. 210 Part 5: COOP Activation and Responses Masterpiece on the Mississippi Pandemic Response SUBJECT: COVI D —19 Water Department COOP Response Dubuque A&AeurleipV `IIIpI 2007.2012.2013 2017*2019 On March 9th, the Water Department became aware of a trigger event, one of environmental condition change, the COVID-19 Pandemic and triggered measures to ensure critical and essential operations of the water treatment plant and the distribution system would be maintained during the situation. The necessity to secure and provide protection to the personnel associated with these critical facilities was the primary driver for subsequent actions. In addition, the need to secure vendor and supplier commitments was also necessary. Critical Operations affected Eagle Point Water treatment plant, remote pumping stations, storage facilities, treatment plant operators, water distribution system maintenance workers, meter repair workers, and the distribution system. Personnel Step 1 Identify Essential and Important Staff Water Treatment Plant Operators are Essential employees due to their responsibility, knowledge, skill and abilities to chemically treat and distribute the City of Dubuque's drinking water. Water Treatment Plant Maintenance staff including the electronic technician and maintenance technician are also identified as Essential employees as they do not have a second or in-house alternative and also carry institutional knowledge, skills, and abilities of operations and facilities of the water treatment, storage and pumping process. Water Distribution maintenance crews including meters are important and are critical in the event of an emergency and are subject to daily on -call status. Step 2 Measures Taken to Protect Water Supply and Staff The following measures were taken to provide necessary protection of the public water supply and water department essential and important staff members: o Alerted staff of change in environmental condition: pandemic. Identify PPE needs and place orders immediately. Put in place immediate disinfection procedures at the treatment plant. ■ At the start of Every shift and following any outside parties that come to the plant such as vendors the following is required: disinfect all surfaces including door handles, handrails, control room surfaces including 212 keyboards and control buttons, counter tops, tables. Handvvashing at the start of every shift and following interaction with others. Set up Communications Center at the treatment plant and in distribution. Must be visible by all with all local, state, and national official notifications to reduce misinformation. The communications center also has disinfection directions. Sent notices to contractors working on Water Department projects, the OSHA guidance on COVID-19. Requested Risk Reduction Plan with PPE measures clearly listed as they will be working at the WTP and with Emergency response crews. o Posted "No Vendor Entry" at the Water Treatment Plant. All deliveries not requiring a signature to be dropped off at the door. o Staff members, on vacation, asked to self -quarantine for 14 days to reduce the risk of any exposure to emergency or critical staff. o Provided temporary on site accommodations (trailers/RV) for the treatment plant operators. Compensation has been agreed to between the City and the Operating Engineers. Staff will remain on property throughout the event when stay in place is triggered. Tested Emergency generators at the Plant and remote sites. Check all fuel levels and confirm the number of hours of available run time based on fuel levels. Distribution crew: Split 50/50. Half the crew will report to any significant emergency from home and half of the crew will be at the MSC to handle contractor requests, new meter installations, and other department needs including emergencies or water quality issues. Alternate the crew each week until conditions change. Confirm Vendors are delivering and available during the pandemic including Water Treatment Plant Chemical deliveries for water treatment. If not, alert DNR, IOWARN and City Manager's office. Identify alternative distribution sampling locations due to reduced access. Confirm back up operators are isolating and have access to PPE when in general population. They may be called up and need to operate. Step 3 Isolate Teleworking Staff from Essential & Important Staff .. Establish teleworking for non -critical employees. All non -critical staff to have laptops as standard computers for such an event. Telewvrk via Microsoft Teams, includes videoconferencing. Step 4 Analyze Financial Impact of the Event and take appropriate measures to curb the impact. Step 5 Establish Return to Work Arrangements Step 6 identify Revised Operational Needs following the Pandemic o Review staffing levels, knowledge, skills, and abilities o Review Revenue and Expenditures o Identify permanent operational changes in preparation for future pandemics o Update the Iowa DNR and customers on any new procedures or practices as appropriate 213 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Water & Resource Recovery Center Last reviewed on: 04/15/2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Water & Resource Recovery Center (W&RRC) provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked, and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Water & Resource Recovery Center Manager. SECTION 1. COOP IMPLEMENTATION This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • COOP becomes active when W&RRC Plant Manager and/or additional City Staff determine existence of emergency affecting W&RRC departmental operations. • Does emergency require alternate operating facilities? • No — Resume duties in existing location • Yes — Establish operations in alternative location within 12 hours (refer to Section 4) • Does emergency require alternate service delivery? • No — Resume duties in permanent location, or alternate location if required • Yes — ➢ Escalating levels of alternate service delivery may be implemented as required by the emergency. Escalating levels of alternative service delivery include the following (Activation Triggers are listed in section 4): 1. Restricted facility access 2. Social Distancing 3. Shelter in Place • Employee alert and notification procedures. • Employees will be notified of COOP implementation, by telephone, as soon as practicable (refer to Appendix 1 for contacts). ❖ Phase II: Alternate Facility Operations • Refer to Section 4 • Activation Trigger is identified for each Alternate Operating Facility listed ❖ Phase III: Reconstitution and Return to Normal Operations • Procedures for returning to normal operations. • Are permanent facilities able to be used for normal operation? • Yes — Return to facility and resume normal operations. • No — Meet with City Manager's Office, Engineering Department, and Public Works to plan for primary facility repairs/cleaning or acquiring a new facility. • Is regular service delivery method possible? • Yes — Return to routine methods of service delivery. • No — Refer to Section 4 of COOP. Alternate service delivery as required by existence of emergency, or lack thereof. • Notification procedures for all employees returning to work. • Notify staff, by telephone, that COOP has been deactivated, and routine schedules will be resumed (refer to Appendix 1 for contact information). SECTION 2. ESSENTIAL FUNCTIONS/SERVICES Prioritized Listing of Functions for the W&RRC Essential Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Key Staff/Back-up Equipment/Data/Office Supplies Operations & Maintenance Wastewater Conveyance (Lift Station Operation) AAA Equipment Mechanics/Maintenance Supervisor/ Electronics Technician/ Contractor (see Appendix 1: Tschiggfrie, A-1 Crane) Trucks, fuel, tools, consumable PPE, cell phones, radios, note pads Operations & Maintenance Wastewater Treatment (Operation of the W&RRC) AAA Operators/Former Operators now in other Departments/Plant Manager/Equipment Mechanics Access to SCADA, consumable PPE, cell phones, radios, note pads Environmental Monitoring Water & Wastewater analytical services (compliance required) AAA Lab Technicians/ former Lab Technicians/Plant Manager/ Contract Lab (See Appendix 1) Laboratory and lab equipment, chemicals, consumable PPE, lab vehicle, PC and internet access for reporting, paper forms Administration Regulatory Reporting AAA Plant Manager/Grade 4 Operator/ Former Plant Manager Computer with access to internet, SCADA system, Hach WIMS program, laboratory data Administration Payroll, purchasing of supplies and services AA Confidential Account Clerk/Plant Manager/Finance Staff Computer and internet access; access to software: Finance Plus, Laserfiche, Outlook; access to F-Drive Important Functions Division/Unit/Program Essential Function Priority - B Key Staff/Back-up Equipment/Data/Office Supplies Administration Public Relations/ Communication with large users/citizens B Plant Manager/Public Information Office/Former Plant Manager (see Appendix 1) Telephone, computer with internet access Operations & Maintenance Hauled waste receiving B Operators Septage receiving equipment, storage tanks, pumps, anerobic digesters Fats, Oils & Grease Tracking of grease interceptor maintenance B Environmental Coordinator/ Confidential Account Clerk Computer with access to Linko CTS, ability to scan documents Environmental Water & B Lab Techs/former Lab Laboratory, consumable Monitoring Wastewater Techs /Contract PPE, lab chemicals and analytical services to private clients Lab/Plant Manager supplies, desk phone or cell phone Non -critical Functions Division/Unit/Program Essential Function Priority - C Key Staff/Back-up Equipment/Data/Office Supplies Administration Facility Tours, Public use of meeting room C Plant Manager/Former Plant Manager/Grade 4 Operator PC, projector and screen, dry -erase board and markers Fats, Oils & Grease Inspection of Food Establishments C Environmental Coordinator/ Lab Technicians Ipad with access to Remote Inspector Application, core sampler, consumable PPE Section 3. Lines of Succession / Delegations of Authority Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Key Positions & Lines of Succession Position Successor 1 Successor 2 Plant Manager (William O'Brien) Eric Kremer (Grade 4 Operator) Jonathan Brown — Former Plant Manager (Appendix 1) Maintenance Supervisor (Wayne Polsean) Adam Leeser (Equipment Mechanic) Larry Hoppman (Equipment Mechanic) Operations Supervisor (currently vacant) Eric Kremer (Grade 4 Operator) Andy Petitgout (Grade 3 Operator) Confidential Account Clerk (Cheryl Pregler) Plant Manager Finance Department Staff Succession Procedures ➢ Plant Manager • Conditions for succession • Successor 1 will assume duties when Plant Manager is incapacitated and unable to fulfill duties. • Successor 2 will assume duties when Plant Manager and Successor 1 are unable to fulfill duties. • Method of notification • Successors will be notified via phone by WRRC staff or CMO staff • Terminating Conditions • Succession will be terminated once Plant Manager is able to resume duties, or new Acting Plant Manager/Plant Manager is appointed. ➢ Maintenance Supervisor • Conditions for succession • Successor 1 will assume duties when Maintenance Supervisor is incapacitated and unable to fulfill duties. • Successor 2 will assume duties when Maintenance Supervisor and Successor 1 are unable to fulfill duties. • Method of notification • Successors will be notified via phone by Plant Manager or other WRRC Staff. • Terminating Conditions • Succession will be terminated once Maintenance Supervisor is able to resume duties, or new Acting Maintenance Supervisor/Maintenance Supervisor is appointed. ➢ Operations Supervisor (as of today, 4/15/2020, position is vacant) • Conditions for succession • Successor 1 will assume duties when Operations Supervisor is incapacitated and unable to fulfill duties. • Successor 2 will assume duties when Operations Supervisor and Successor 1 are unable to fulfill duties. • Method of notification • Successors will be notified via phone by Plant Manager or other WRRC Staff. • Terminating Conditions • Succession will be terminated once Operations Supervisor is able to resume duties, or new Acting Operations Supervisor/Operations Supervisor is appointed. ➢ Confidential Account Clerk • Conditions for succession • Successor 1 will assume duties when Confidential Account Clerk is incapacitated and unable to fulfill duties. • Successor 2 will assume duties when Confidential Account Clerk and Successor 1 are unable to fulfill duties. • Method of notification • Successors will be notified via phone by Plant Manager or other WRRC Staff. • Terminating Conditions • Succession will be terminated once Confidential Account Clerk is able to resume duties, or new Acting Confidential Account Clerk / Confidential Account Clerk is appointed. Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Plant Management Managerial Successor to Plant Manager Succession of Plant Manager Within authority provided to Plant Manager Maintenance Supervision Supervisory Successor to Maintenance Supervisor Succession of Maintenance Supervisor Within authority provided to Maintenance Supervisor Purchase of services and supplies Purchase of items determined essential and time Successor to Confidential Account Clerk Succession of Confidential Account Clerk Within authority provided to Confidential critical to response activities Account Clerk Section 4. Alternate Operating Facilities & Service Delivery Alternate Operating Facilities Essential Function: Wastewater Conveyance (Lift Station Operation) Required: Alternative Location Identified: Activation Trigger: Structure / Facilities Weather-proof, space enough to set up work bench for maintenance of pumps Pumps and hose for reroute pumping in the case of lift station failure Utilities Electricity for lighting and tools Communications (Including Voice and Data Transmission Cellular phones, radios Equipment and/or systems Mechanics tools, trucks, pumps, hose reel with hose Facility specific Emergency Response Plans, equipment (health and safety items) Access to PPE and sufficient space to maintain separation between staff Essential Function: Wastewater Treatment Required: Alternative Location Identified: Activation Trigger: W&RRC unable to treat wastewater for more than 30 days. Structure / Facilities Mobile membrane bioreactor (see OVIVO and Integrated Water Services, Inc. under Contractor section of Appendix 1) Utilities Electricity Communications (Including Voice and Data Transmission SCADA connectivity via cellular, radio, or fiber Equipment and/or systems Mechanics tools, trucks, consumable PPE Essential Funciton: Administration Required: Alternative Location Identified: Work remotely Activation Trigger: Office unable to be occupied, or staff showing symptoms of COVID-19, or staff feels unsafe reporting to office due to pandemic Structure / Facilities Office Utilities Electricity, restroom, accommodations for meal prep/storage Communications (Including Voice and Data Transmission Cellular phone and internet connection or hot spot Equipment and/or systems Laptop and access to GotoMyPC Essential Funciton: Laboratory Services Required: Alternative Location Identified: Activation Trigger: Laboratory unable to be occupied. Structure / Facilities Laboratory Utilities Electricity, reagent grade water, tap water, sewer, restroom, accommodations for meal prep/storage Communications (Including Voice and Data Transmission Telephone Equipment and/or systems Laboratory Instruments (Identified in Lab Manual) Alternate Service Delivery in support of Social Distancing Essential Funciton: W&RRC Operation Required: Alternative Delivery Method: Level 1) Restrict access to Control Room, monitor situation, routine disinfection of surfaces in control room, use of PPE Level 2) Set up second control room in Administration Building SCADA room (isolate staff/shifts from one another) Level 3) Shelter in Place (Operators reside at W&RRC) Activation Trigger: Level 1) Emergency declaration Level 2) Heightened risk of non-compliance or failure to deliver service — as determined by Plant Manager and City Manager Level 3) Extreme risk of non-compliance or failure to deliver service - as determined by Plant Manager and City Manager Structure / Facilities Office, PCs, desk, chair Utilities Electricity, restroom, accommodations for meal prep/storage, showers Communications (Including Voice and Data Transmission Desk phone, cellular phone Equipment and/or systems SCADA system access Essential Funciton: Laboratory Services Required: Alternative Delivery Method: Restricted Access to Laboratory Activation Trigger: Emergency Declaration Structure / Facilities Barricades in entryways, signs alerting clients to restrictions Communications (Including Voice and Data Transmission Use of remote doorbell for clients to request assistance from city staff Equipment and/or systems Barricades, signs, doorbells Essential Funciton: Administration Required: Alternative Delivery Method: (1) Telecommuting (Plant Manager, Confidential Account Clerk) (2) Restricted access to administration building Activation Trigger (1) Employee is symptomatic and/or request to telecommute. (2) Emergency declaration Structure / Facilities Climate -controlled space with electricity, restrooms, and dining accomodations Communications (Including Voice and Data Transmission Internet access via land line or hotspot, cellular telephone Equipment and/or systems Laptop with access to GotoMyPC (GoToMyPC has been set up for Plant Manager and Confidential Account Clerk) Section 5. Interoperable Communications ❖ Critical communication systems that support the department essential functions. Y Supervisory Control and Data Acquisition (SCADA) system y Radio communications and city fiber network for communication with lift stations Y Hand-held radios Method of transferring/replicating critical communications at the alternate site VPN access to SCADA system through City network or verizon network ➢ Radio communication ❖ Procedures for interoperable communications between the department's staff, management, and essential internal and external staff. If phone systems are available, continue using as normal with forwarding to cell phones Use cell phones when desk phones not available Use radio when phones not available ❖ Procedures for communication with other organizations, emergency personnel, critical customers and the public ➢ Contact public via social media and local media Signage at WRRC ➢ Use desk phones or cell phones for inter -city communication ❖ Procedures for access to data and systems necessary to conduct essential activities and functions. ➢ Maintain SCADA communication if possible Section 6. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll Electronic Finance Dept No City Server Accounts Payable Electronic Finance Dept No City Server Accounts Receivable Electronic Finance Dept No City Server Employee Records Electronic/Hardcopy Human Resources Yes City Server Industrial Pretreatment Electronic/Hardcopy WRRC Yes City Server SCADA Historian Electronic WRRC No City Server Discharge Monitoring Reports Electronic WRRC No City Server Section 7. Tests, Training and Exercises Employees play a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Development, Testing, Training and Exercising of COOP ■ Conduct annual review of department COOP • Review shall be completed once per calendar year by Plant Manager and additional W&RRC staff as selected. • Conduct annual department testing and exercising of COOP plans and procedures • Testing and exercising shall be completed once per calendar year, shall include all W&RRC staff, and shall be conducted on short notice. ■ Conduct annual testing of emergency alert and notification procedures and systems • Testing shall be completed one time per calendar year, unannounced, in conjunction with the department testing and exercising of COOP plans and procedures, by the Plant Manager, with assistance from W&RRC staff. ■ Conduct annual refresher orientation with COOP staff • An annual refresher orientation shall be conducted with all W&RRC staff. This refresher shall be conducted during the fall/winter Appendix 1 - Contacts W&RRC and City Staff City Department Office Phone# Emergency Communication 563-589-4415 Emergency Management 563-589-4170 Fire 563-589-4160 Police 563-589-4410 Finance 563-589-4398 Human Resources 563-589-4125 Public Works 563-589-4250 City Manager's Office 563-589-4110 Information Services 563-589-4280 Engineering 563-589-4270 *Refer to Appendix 2 for full list of City Staff telephone numbers Government Agency Contacts Iowa Department of Natural Resources Field Office #1 909 West Main Suite 4, Manchester, IA 52057 Office: 563-927-2640 e-mail: amber.sauser@dnr.iowa.gov 24-Hour Emergency Hotline: 515-725-8694 Environmental Protection Agency Region 7 Office 11201 Renner Boulevard, Lenexa, KS 66219 Office: 1-800-223-0425 National Response Center: 1-800-424-8802 (for emergencies and other sudden threats to public health). Contractors Tschiggfrie Excavating 425 Julien Dubuque Drive, Dubuque, IA 52003 Office: 563-557-7450 e-mail: dubuqueoffice@tschiggfrie.net After Hours Contacts: Contractor providing mechanical services and labor. A-1 Crane Rental & Machinery 525 E 19th St, Dubuque, IA 52001 Office: 563-583-5735 (connects to answering service after hours) After Hours Direct Contact: Contractor providing mechanical services and labor. Eurofins/TestAmerica 3019 Venture Way, Cedar Falls, IA 50613 Office: 319-277-2401 e-mail: info@testamericainc.com Contractor providing analytical services for water and wastewater. Evologic 2255 John F Kennedy Rd, Dubuque, IA 52002 Office: 563-556-2144 e-mail: info@evologic.us Contractor providing PLC/HMI programming, VFDs (variable frequency drives), Control panel design and fabrication, SCADA, Industrial electronics repair, Project management. Ovivo 2255 John F Kennedy Rd, Dubuque, IA 52002 Telephone: 512-652-5805 e-mail: Contractor providing mobile Membrane Bioreactor wastewater treatment systems. Integrated Water Services, Inc. 1169 Hilltop Parkway, Unit 101 B, Steamboat Springs, CO 80487 Office: 720-207-5052 e-mail: jmiller(a integratedwaterservices.com Contractor providing mobile Membrane Bioreactor wastewater treatment systems. Appendix 2 — City Department Phone List AIRPORT Todd Dalsing Dan Klaas Cheryl Sheldon Karen Spisak Gordy Vetschs Airport Operations Fax BUILDING SERVICES Gary Blosch Cory Firzlaff John Liphardt Jason Mouring Jean Noel OPEN Dave Johnson Mike Sievers OPEN JeffZasada Fax CABLE TV OPEN Erich Moeller Craig Nowack Fax CITY CLERK'S OFFICE Trish Gleason Kevin Firnstahl Pam McCarron Fax 4128 4233 4232 4234 4237 4235 4236 589-4108 4150 6040 4155 590-8870 4153 4150 4157 4152 4154 4156 6037 690-6687 4181 4181 4181 690-6288 690-6687 4120 4120 4121 4122 589-0890 CITY HALL INFO 589-4100 CITY MANAGER'S OFFICE 4110 Rahim Akrami 690-6120 Gina Bell 690-6038 Kelli Buchenau 690-6062 Cori Burbach 4112 Randy Gehl 4151 Teri Goodmann 690-6060 Juanita Hilldn 690-6036 Kristin Hill 690-6068 Jerelyn O'Connor 4326 Natalie Rinker 6039 Anne Schreyer 4110 Stephanie Valentine 4116 Mike Van Milligen 4110 Fax 589-4149 ECONOMIC DEVELOPMENT 4393 Jill Connors Ian Hatch Cynthia Kramer Jenni Petersen -Brant Fax 4213 4105 4393 690-6059 589-1733 DISPUTE RESOLUTION CTR 4395 EMERGENCY COMMUNICATIONS **in an Emergency** Dial 9-911 Non -Emergency Dispatch 4415 Mark Murphy 7856 EMERGENCY MANAGEMENT Tom Berger 4170 EMPLOYEE LOUNGE 4509 ENGINEERING Kerry Bradley (Secretary) Dennis Ploessel Interns Jon Dienst Tom Freund Vacant (Traffic Engineer) Charlie Gau Anita Gonyier Jay Gonzales 4270 4270 690-6554 690-6113 4104 4201 4200 4374 4271 4518 Meggan Bennett Luke Steger Todd Irwin Nate Kieffer Philip Grommet Troy Kress Adam Decker Chris Lyons Dean Mattoon Hugh McCarron Deron Muehring George Nauman Dave Ness Chuck Nicholas Gus Psihoyos Duane Richter Steve Sampson Brown Bob Schiesl ROW Tech(Vacant) Justin Smith Nate Steffen Interns Traffic Control Room Fax FINANCE Tony Breitbach INTERN Nathan Kelleher Rachel Kilburg OPEN Ella Lahey Jenny Larson (Budget/Finance) Melissa McGinnis Connie Mueller Jen Raber Kerry Rogers Cindy Schroeder Kate Weidemann Fax FIRE DEPARTMENT Rick Steines Wayne Dow Jodi Lukens Derek Paulson Fax FIVE FLAGS CIVIC CTR Main Office General Manager HR Cook Dir of Finance Don Howes Dir Events & Op Shaun Rice Event Manager Ali Levasseur Mktg Coord Kelly Spreitzer Mech Ops Mgr Bob Richardson 4362 Fax 589-4351 GIS Nikki Rosemeyer Caleb Scheidel 4174 690-6015 HEALTH SERVICES 4181 Jenny Cook & McKinzie Flanagan - Animal Control Mary Rose Corrigan OPEN Katie Kieffer Tim Link Fax 4185 4181 4181 4183 4102 589-4299 HOUSING & COMM DEVEL Section 8 General Housing Healthy Homes/Lead Rehab BBHH (Resiliency) Lisa Barton Teresa Bassler OPEN 4230 4230 4231 1724 4239 690-6168 690-6092 690-6096 690-6093 690-6270 690-6035 4278 4277 1721 1738 4119 4158 690-6116 4101 4276 690-6061 1722 4518 4275 690-6067 4272 4273 4159 599-5239 1734 690-6115 690-6511 589-4205 4131 4134 4135 4339 4141 4398 4322 4142 4398 4133 4140 4130 4132 690-6689 4160 4160 4194 4160 4195 OPEN Dawn DeMaio Tracy Doyle Tonya England Tami Emster Sharon Gaul OPEN Maddy Haverland OPEN Gina Hodgson Amanda Hohmann OPEN OPEN Scott Koch John Liphardt OPEN OPEN Kris Neyen Hollie Ohnesorge OPEN Ben Pothoff Cate Richter Alex Rogan Raneisha Ross Alexis Steger OPEN OPEN Fax HUMAN RESOURCES Tusdee Blus Kecia Dougherty Amanda Koppes 690-6073 690-6090 690-6099 690-6100 4231 4510 690-6088 690-6089 589-1724 4239 690-6101 690-6103 690-6074 690-6104 4338 690-6105 690-6102 690-6094 690-6106 690-6107 690-6075 690-6070 690-6097 690-6110 690-6072 690-6109 690-6091 589-4244 4125 6127 4182 6125 Gina Noel 4115 Amanda Bartsch (Nurse Case Mgr) 6117 Shelley Stickfort 4114 Fax 690-6025 HUMAN RIGHTS Collins Eboh Kelly Larson Temwa Phiri Carol Spinoso VISTA Fax 589-4209 INFORMATION SERVICES Yanely Nordin -Help Desk Chris Kohlmann 4254 Stacey Moore 4257 Joe Pregler 4256 Tony Steffen 4361 Alicia Tumis 4375 Jim Vosberg 4353 Fax LEGAL SERVICES Crenna Brumwell Jenny Messerich Barry Lindahl Maureen Quann Tracey Stecklein (Admin) Shante Weston Fax LEISURE SERVICES Janna Beau Tony Elskamp Brian Feldott 4190 4191 4190 4180 4190 690-6126 690-6691 4280 4284 4280 4283 4287 4282 4288 4285 589-4203 4381 4381 4113 4381 4113 4381 583-1040 4263 4315 4312 4316 Greenhouse 589-4320 Golf Maintenance -Gerry Lange 4314 Peggy Kraus-Abidi Dan Kroger (Recreation Div.) Steve Fehsal (Park Div.) Whitnee Hale OPEN Tree Crew -Tom Kramer Jolene Rettenberger Heather Satterly (Americorps) Kim Stickney (Americorps) 4317 4310 4260 4385 4311 589-4298 4995 6171 4554 Mike Sullivan (PGA Pro) Kristen Dietz Marie Ware Fax Marina Multicultural Family Center Jackie Hunter (MFC) Sarah Petersen (MFC) LIBRARY Bill Carroll Danielle Day Susan Henricks Denette Kellogg Fax PARKING DIVISION Diane Boardman Fax PARKING TICKETS Vickie Wilwert Fax PLANNING SERVICES Charles Miller Laura Carstens Guy Hemenway INTERN Chris Happ Olson Kyle Kritz OPEN Jane Glennon Travis Schrobilgen Wally Wemimont Fax POLICE DEPARTMENT Scott Cmbill Mark Dalsing Dawn Dempsey Jeremy Jensen Kevin Klein Jodi Murphy Steve Olson Steve Radloff Dawn Young Non -Emergency Dispatch Fax Police - Records Room Shelley Laird Fax PUBLIC WORKS Todd Atkinson (Garage) Paul Davis OPEN (Landfill) Doug Hughes (Landfill) John Klostermann Tom Kuhle (Garage) Linda Locher Julie McLaughlin Anderson Sainci Chris Selchert (Garage) Dave Sitzmann Arielle Swift Teresa Theisen Landfill 4318 4262 4264 589-4391 582-5524 582-3681 6041 6042 4225 4139 4138 4126 4313 589-4217 4266 4267 690-6675 4148 4548 690-6688 4210 4123 4210 4222 1732 4387 4223 4215 4210 1732 4214 589-4221 4410 4422 4411 4469 4444 4425 4410 4454 587-3807 4461 4415 589-4497 7848 589-3849 4250 4251 6046 4354 6221 4348 4245 4346 2079 4249 4274 4345 4344 2080 557-8220 Landfill Scale House/OPEN 1837 RCC/hazardous waste/Ken Miller 1717 Sign Shop 2062 Fax 589-4252 TRANSIT DIVISION Carroll Clark OPEN (Conf. Acct. Clerk) Justin Harris -Davis Jacob Ironside Deb Pottebaum Lisa Powers 4196 4971 690-6463 4198 4228 4972 4227 Russ Stecklein 4197 Renee Tyler (Parking & 4341 Transportation Department) Mini -Bus 6464 Fax 589-4340 UTILITY BILLING Brandi Baumhover Dawn Carr Rose Hoemer Karen Pins Jenni Welsh OPEN Front Counter WATER DEPARTMENT Denise Ihrig Kerry Leppert OPEN (Secretary) OPEN Brant Schueller Deb Searles Foreman — Damn Homb GIS Specialist — Jesse Bernhardt Meter Shop Meter Replacement Fax 4144 4145 4144 4143 4242 4146 4147 4242 4291 4290 4305 4291 4292 4303 4587 2076 6050 2077 4304 589-4297 WATER AND RESOURCE RECOVERY CENTER 4176 Josh Contreraz 4175 Willie O'Brien 4269 Cheryl Pregler 4601 Laboratory 4334 Maintenance 4336 Operator Control Room 4330 Fax 589-4179 CONFERENCE ROOMS: A 4173 WALL 1730 CONFERENCE (cannot receive outside calls, must transfer call from an extension inside the building) B 4500 WALL 4220 CONFERENCE C 6510 WALL MAIL ROOM (CITY HALL) 4593 REV. 12/19/2019 Appendix 3 — IDNR Emergency Hotline *ffts) IOWA DEPARTMENT OF NATURAL RESOURCES Don't hesitate. Don't forget. Don't wait Update Emergency Response Plans Now DNR's 24/7 Environmental Emergency Hotline number changes July 1. Don't wait until you or your company need to report a spill, wastewater bypass, underground storage tank system release or failure, or water supply failure or violation to the DNR. Please change the environmental hotline number on your emergency plans and documents now. The new number is 515-725-8694. Who needs to call? Contact the Iowa Department of Natural Resources for any of the following situations as soon as possible but no later than required by law. The sooner you contact DNR staff, the more likely they can help you prevent additional risk to public health and safety, or damage to Iowa's natural resources. 1 Changing July 1, 2015 DNR's 24-hour Environmental Hotline 515-725-8694 Emergency Situations that Must be Reported Time Limit to Report Chemical spills: Anyone manufacturing, storing, handling, transporting or disposing of a hazard- ous substance when a hazardous condition occurs. If in doubt, report it. Within 6 hours Manure releases: Anyone storing, handling, transporting or land -applying manure from a con- finement feeding operation; or storing, handling, transporting or land -applying manure, process wastewater, open feedlot effluent, settled open feedlot effluent or settleable solids from an open feedlot operation who becomes aware of a release. Within 6 hours Wastewater discharges: Treatment facility owner or operators. Report when a bypass or upset occurs as a result of mechanical failure or acts beyond the control of the owner or operator. Within 24 hours Underground storage tank system failures: Owners and operators of UST systems must report to DNR within 24 hours the discovery of released regulated substances at the UST site or in the surrounding area, unusual operating conditions or monitoring results from a release detection method that indicate a release may have occurred. Within 24 hours (6 hours if release creates a hazardous condition) Drinking water system notifications: Owners and operators of public drinking water systems must report monitoring and maximum contaminant level (MCL) violations and situations, in- cluding treatment or distribution system failure that "significantly increases the potential for drinking water contamination" and other situations "with significant potential to have serious adverse effects on human health as a result of short-term exposure." Within 24 hours Complaints, Fish Kills and other environmental reporting: Anyone seeing a fish kill, someone burning tires or other banned materials, or dumping materials where it shouldn't belong. As Soon As Possible Leading Iowans in caring for our natural resources I www.iowadnr.gov on won un i you re se ing ou e . ooms. ange o 515-725-8694 on all your plans now. More About Spill Reporting Spills must be reported by anyone manufacturing, stor- ing, handling, transporting or disposing of a hazardous substance when a hazardous condition occurs. (Also see definitions.) How do I know if it's a hazardous condition? Report it if a hazardous substance such as an acid, heavy metal, paint is involved and it has the potential to leave the property, reach a water of the state (surface or groundwater) or can be detected in the air at the facility's boundaries. Report it if there is a potential threat to public health and safety, or first responders (fire department, Haz Mat, public health and emergency management) respond to the incident. Report releases that exceed a Federal Reportable Quantity to the National Response Center or to the U.S. Environmental Protection Agency. Definitions "Hazardous Condition" means any situation in- volving the actual, imminent or probable spillage, leakage, or release of a hazardous substance onto the land, into a water of the state or into the at- mosphere which, because of quantity, strength and toxicity of the hazardous substance, its mobility in the environment and its persistence, creates an im- mediate or potential danger to the public health or safety or to the environment. "Hazardous Substance" means any substance or mixture of substance that presents a danger to the public health or safety and includes, but is not limited to, a substance that is toxic, corrosive, or flammable, or that is an irritant or that, in confine- ment, generates pressure through decomposition, heat, or other means. The following are examples of substances which, in sufficient quantity, may be haz- ardous: acids; alkalis; explosives; fertilizers; heavy metals such as chromium, arsenic, mercury, lead, and cadmium; industrial chemicals; paint thinners; paints; pesticides; petroleum products; poisons; radioactive materials; sludges; and organic solvents. "Hazardous substances" may include any hazardous waste identified or listed by the administrator of the United States Environmental Protection Agency un- der the Solid Waste Disposal Act as amended by the Resource Conservation and Recovery Act of 1976, or any toxic pollutant listed under Section 307 of the federal Water Pollution Control Act as amended to January 1, 1977, or any hazardous substance desig- nated under Section 311 of the federal Water Pollu- tion Control Act as amended to January 1, 1977, or any hazardous material designated by the secretary of transportation under the Hazardous Materials Transportation Act (49 CFR 172.101). Additional information Contact the Iowa DNR's main office at 515-725-8200. Or contact the environmental field office serving your area at www.iowadnr.gov/Portals/idnr/uploads/fo/fo_factsheet.pdf. Clip and keep. Required Time limits for Reporting Incidents Spill Reporting 6 hours Manure Release Reporting 6 hours Waste Water Bypasses 24 hours Drinking Water 24 hours (main breaks, violations, etc) Release from a UST system 24 hours (if release creates a hazardous 6 hours condition) Emergency Numbers DNR 24/7 Spill Number: 515-725-8694 Local Law Enforcement: Local Fire Dept: Other: CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Public Works Department April 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Public Works Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked, and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions Authorities: The COOP planning authority is vested with the City Manager and the Public Works Director. Page 1 of 14 Section I. Essential Functions/Services Prioritized Listing of Essential Functions for the Public Works Department Critical Functions Division/Activity/ Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Administration Track and process payrole AAA PW Garage Clerk, Secretary Assistant Public Works Director Operational MSC facility or access to electronic files, GIS Street Maintenance Address pavement failures to assure fora safe and functional transportation system AAA Assistant Public Works Director PW Field Supervisor Operational MSC facility or access to electronic files, GIS Equipment and truck fleet Street and Traffic Lighting Maintenance on the traffic control system AAA Assistant Public Works Director PW Field Operational MSC facility or access to electronic files, GIS Bucket Trucks Operational MSC facility or access to electronic files, GIS Equipment and truck fleet Snow and Ice Control Provide snow and ice control to the primary, secondary and residential routes AAA Assistant Public Works Director PW Field Sanitary Sewer Maint. Storm Sewer Maint. Provide citizens with safe and clean environment by responding to identified problems within the collection system AAA Assistant Public Works Director PW Field Supervisor Operational MSC facility or access to electronic files, GIS Sewer Jet and Jet/vac sewer trucks Solid Waste Collection Provide citizens with safe and clean environment by providing for trash collection AAA Resource Management Coordinator and Supervisor Lead Driver Operational MSC facility or access to electronic files, GIS Solid Waste Collection Fleet Landfill Operation Provide for community with landfill operations for the disposal of trash. AAA Solid Waste Facility Supervisor DMASWA Administrator Operational scale. Landfill equipment Page 2 of 14 Division/Activity/ Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Fleet Maintenance Provides support AAA Assistant Operational MSC facility or to all city operations by providing vehicle and equipment maintenance and repair Public Works Director Fleet Maintenance Supervisor fleet maintenance area Flood Control Provide flood AAA Assistant Available staff, Operations control by operating the flood control system Public Works Director PW Field plan Supervisor Important Functions Division/Unit/ Program Important Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Administration Process accounts payable. Receive and process citizen requests B PW Garage Clerk, Secretary Assistant Public Works Director Operational MSC facility or access to electronic files, GIS Riverfront/Port of Dubuque Provide for trash removal and grass cutting only B Assistant Public Works Director PW Field Adequate staffing levels and available equipment Street Cleaning Provides citizens with a clean street environment on primary streets only B Assistant Public Works Director PW Field Supervisor Operational MSC facility, sweeping equipment, and adequate staffing levels. Snow Removal Removal of snow from downtown streets/ alleys and public buildings B Assistant Public Works Director PW Field Supervisor Adequate staffing levels and available equipment Page 3 of 14 Non -critical Functions Division/Unit/ Program Non- Essential Priority - C Staff/Back-up Equipment/Data/Office Supplies Asset Management Maintain Cartegraph System C Administration Staff Computer Internet Connection Staff Training Provide Staff with OSHA required training C TRICOR Safety Consulting Area to hold large group training RCC/Household Hazardous Waste Collection Collect and disposal of Household Hazardous Waste C Landfill Staff Staff to sort and pack HHW, certified building for storage, computer with access to landfill software Recycling Collection Provide for the collection of recycling material based on staffing levels C Resource Management Coordinator and Supervisor Lead Driver Staff and solid waste collection trucks Current flex schedule may need to be suspended to meet the Asphalt Paving Program Curb Replacement Concrete Section Repair Pavement Maintenance C Assistant Public Works Director PW Field Supervisor Staff and available funding Snow Removal Removal from primary street and cul-de-sacs C Assistant Public Works Director PW Field Supervisor Adequate staffing levels and available equipment Curbside Collection of Yard Waste and Electronics Collect and proper disposal of Yard Waste and Electronics C Solid Waste Vehicle, office staffing, and Staff adequate staffing levels to provide service. Page 4 of 14 Section II. Lines of Succession / Delegations of Authority Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Key Positions & Lines of Succession Public Works Department Position Successor 1 Successor 2 Public Works Director Assistant Public Works PW Field Supervisor Assistant Public Works Director PW Field Supervisor PW Foreman Resource Management Coordinator and Supervisor Lead Sanitation Driver Designated Sanitation Driver Fleet Maintenance Supervisor AM Lead Mechanic PM Lead Mechanic Solid Waste Facility Supervisor DMASWA Administrator Landfill Foreman DMASWA Administrator Resource Management Coordinator and Supervisor Solid Waste Facility Supervisor Delegations of Authority Public Works Department Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Management Decisions All Management and Operational Decisions Assistant Public Works Director Absence of Public Works Director The Assistant Public Works Director shall have all authority as the Public Works Director Operational Decisions Operational Decisions related to Public Works activities Activity Supervisors Absence of Director or Assistant Director Limited to daily operational decisions Page 5 of 14 Section III. Alternate Operating Facilities & Service Facility and Infrastructure Requirements at Alternate Facility Public Works Near -Site Location: None identified at this time Required: Structure / Facilities When possible a heated facility, minimum of 100,000 square feet of space with the majority of the space dedicated to vehicle and equipment storage would need to be identified for a temporary facility. If no space that size is identified in one location, temporary out -side storage of equipment would be used during the warm weather months. Current location identified is the old Bowling and Beyond site. The central storage facility, (old Jule facility) would be used for fleet maintenance and limited feet storage. Office operations would be located if available in City space similar to the Water Plant or Water and Resources Recovery Center or Jule Operations Center. Greater Dubuque Development Corporation will be contacted to assist in finding a suitable Utilities Water, sewage, electricity Communications (Including Voice and Data Transmission Voice and data transmission lines Equipment and/or systems High speed internet access, office desks Facility specific Emergency Response Plans, equipment (health and safety items) Fire suppression system, back-up power generator, handicapped accessible, multiple ingress/egress points Some supervisory and clerical staff may have the ability to work from home. Field staff will be notified by the activity supervisors as to where and when they should report. Page 6 of 14 Section IV. Interoperable Communications Identify the critical communication systems that support the department essential functions. • The critical communication systems that support the department's essential functions are land -line phones, cell phones, City/County Emergency Radio System, and Internet Address method of transferring/replicating critical communications at the alternate site The public works department will work directly with the City Information Services Department to establish phone and Internet connections. The department will work directly with our radio system provided for the City/County Emergency Radio System. Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. • Radio, text, email, phone calls are all acceptable forms of communication between departments and staff Establish procedures for communication with other organizations, emergency personnel, critical customers and the public • The public works director, assistant public works director, acting director or activity supervisors will provide all communications with partner organizations, emergency personnel and staff. • The public works director, assistant public works director or acting director will work with the Public Information Officer (PIO) on information directed to the public. Establish procedures for access to data and systems necessary to conduct essential activities and functions. • The Department will work with the City Information Services Department on setting up computers, internet connections for the electronic access of files. The current system used is GOTOMYPC which most supervisors have installed on their mobile devise. Page 7 of 14 Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. All access to electronic files will be obtained by using access applications approved by the City Information Services Department. Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) City of Dubuque F:drive Electronic Yes if GOTOMY PC is available No No Employee Contact List Electronic/ Paper Yes if GOTOMY PC is available Yes No Snow and Ice Control Manual Electronic/Paper Yes if GOTOMY PC is available Yes No Flood Control Operational Manual Electronic/Paper Yes if GOTOMY PC is available Yes No Page 8 of 14 Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. Phase I: Activation and Relocation The public works director, assistant public works director along with activity supervisors will assess the damage and provide a team recommendation to the city manager. Employees will be contacted by phone by the activity supervisors on when and where to report. Phase II: Alternate Facility Operations Public Works will work one 16 hr shift or two 12 hour shifts to remove vehicles and equipment from the MSC to the new location. That decision will be made on the type of incident and available staffing levels. Phase III: Reconstitution and Return to Normal Operations Under the direction of the public works director or the assistant director staff will be notified to move vehicles and equipment back to the MSC when it is safe to do so. Page 9 of 14 Section VII. Tests. Trainina and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. The plan will be reviewed each year or after implementation of the plan. (after action review) • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Review of the COOP plan will be reviewed during new employee orientation. Page 10 of 14 ADDENDUM #1 - Pandemic Influenza Continuity Plan The Public Works Department will monitor the severity of the pandemic and when necessary use this plan to maintain Continuity of Operations. Roles and Responsibilities are included. This section of the plan will be reviewed and updated as needed Public Works Director - Role and Responsibilities • Encourage "physical distance" when possible to reduce spread of disease with all employees by working at the director's office located Municipal Services Center throughout the event. • Assure that all employees have the needed PPE to perform their jobs safely • Closed the Municipal Service Center building to the public • Changed phone recording to inform customer that the office building is closed, however, essential operation will continue to be offered • Inventory cleaning supplies needs to keep employees safe and equipment cleaned • Leverage employees not on route to create disinfecting wipes for building • Designated crew disinfect common spaces where there maybe high traffic Participates in daily department head meetings for daily updates regarding the virus and/or changes to city wide operations Met with activity supervisors, foreman and secretarial staff to discuss what are the essential tasks that needs to get done every day. Also, to discuss how the tasks will get accomplished while practicing "physical distance". Each activity supervisor and/or foreman gathered input from their team before reporting this information back to leadership team. When possible use GoToMeeting for departments to practice "physical distance" Encouraged supervisors to work from home using GoToMyPC when it made sense Ensures all essential activities are adequately staffed to provide essential services to all internal and residents as best as possible. Example: • Vehicle Maintenance will support all City departments that need vehicle and/or equipment support • Curbside collection will remain as schedule on customers normal collection day • Customers may not be asked to place a green sticker and/or a yellow sticker for the collection of additional trash or yard waste. After action review and report to be completed with Public Works Leadership Team to document and plan for future events Page 11 of 14 Assistant Public Works Director - Role and Responsibilities Daily operations plans are will be developed by the Public Works Field Supervisor and reviewed by the Assistant Public Works Director. Developed alternative working start and finish times to practice "physical distance" • Example of operating with five (5) shifts instead of one for non -winter hours listed below Daily start and end time with staff responsibilities • 4:00 am -noon crew out to do street sweeping • 5:00 am-1:00 pm crew disinfect common areas of the building/riverfront maintenance • 6:30am-2:30 crew working on pavement maintenance activities • 7:00 am-3:00 pm two crews doing concrete and one crew CCTV inspection • 7:30am-3:30 one crew updating street signs, two sewer maintenance crews, one patch crew/ disinfecting common areas in the building Review and maintains vehicles to ensure operations continuity • Maintain communication with the Public Works Director (or designee) for daily updates regarding the virus and/or changes to operations • Communicate changes as needed to Foreman and/or other staff on changes to operations • Use staff as needed to create cleaning supplies Vehicle Maintenance Supervisor - Role and Responsibilities Developed alternative working start and finish times to practice "physical distance" • All mechanics work eight hours with alternative breaks • All mechanics leave uniform attire at the facility to be washed by outside vendor • All mechanics are offered gloves to perform daily tasks • When parts are ordered from outside vendor, vendors are not allowed to enter the building. Parts are left outside the building with a receipt. Once vendor is gone staff will collect and process the shipment order • All buses are disinfected by public works staff prior to working on them • To practice "physical distance" one clerical staff was moved into a vacant office space • Maintain communication with the Public Works Director (or designee) for daily updates regarding the virus and/or changes to operations • Communicates necessary changes to mechanics and clerical staff on changes to operation Page 12 of 14 Resource Management Coordinator and Supervisor - Role and Responsibilities First priority is to make sure there is adequate staff to collect trash, recyclables, yard waste and food scrap, electronics and bulky items and they all have the necessary PPE to preform their tasks safely. • Daily staffing level • Eight (8) employees to collect trash + bulky collection Six (6) employees to collect recycling Two (2) employees to collect yard waste + food scrap • One (1) employee to deliver carts, bins and/or report right of way issues • If there is a reduction in staff due to staff being sick it will be recommended to suspend bulky collection, then yard waste collection Second is to make sure there is adequate equipment for the collection and the disposal of the items mentioned above • Daily equipment needs • Six (6) refuse trucks • Five (5) recycling trucks • One (1) yard waste truck • Maintain communication with the Public Works Director (or designee) for daily updates regarding the virus and/or changes to operations o This is critical especially if you do not have enough staff and/or enough vehicles to operate • Attends all department and/or leadership "GoToMeeting" "Zoom" and/or other virtual/telecommunication meetings for daily updates regarding the virus and/or changes to citywide operation • Communicates necessary changes to Lead Sanitation and Sanitation employees and/or secretarial staff on changes to operation • Works remotely (if possible) by using GoToMyPC (March 23) o Must make sure you have access to a computer at home o Reached out to Information Service Department for access to GoToMyPC • Works with the Public Information Department on ways to inform all stakeholders on changes to daily operation o Example, Weekly Yard Waste Collection has been changed due to the COVID-19 • Citizens were informed on March 30, 2020 that weekly collection for yard waste and food scraps begins on April 6, 2020. Normally, customers would be informed to purchase yard waste stickers and/or annual yard waste decals. Due to the COVID-19 virus epidemic, the Page 13 of 14 City temporarily suspended the need for customers to attach single -use yard debris sticker or annual yard debris decals to containers until a designated date. Additional information was posted on social media, Rethink Was mobile app and shared on the radio. • Encouraged Lead Sanitation + all sanitation crew to stay home if they felt sick and follow the health departments guidelines • Inform Lead Sanitation (or designee) of any changes to health status immediately (including changes during the workday). Practices "physical distance" in the morning by staying in groups of ten (10) or less in the lunchroom and/or the break room • Lead Sanitation + all sanitation crew will be offered additional gloves to manage daily trash and/or recycling collection • Lead Sanitation + all sanitation crew will be offered additional cleaning material to clean cabs of solid waste trucks ▪ Stays in communication with solid waste industry leaders in the state to stay informed on possible changes to managing waste Landfill Waste Facility Supervisor and DMASWA Administrator - Roles and Responsibilities • Ensure minimum daily staffing requirements can be met to deliver essential services • Staffin Needs • 1 Scale Operator • 3 Landfill Equipment Operators • 1 Mechanic • Discontinue Non -Essential Services • Close and issue public notice • Regional Collection Center (Electronics, Household Hazardous Waste/Reuse) • Discontinue Cash & Check Transactions - Credit Card Only • No Public Customers • Review Equipment Needs to ensure operations continuity • 2 Crawler Dozer • 1 Trash Compactor • 1 Haul Truck • 1 Excavator • 1 End loader • Maintain communication with the Public Works Director (or designee) for daily updates regarding the virus and/or changes to operations • Discuss staffing levels & equipment levels • Staffing support from Public Works or external contractor • Attend all department and/or leadership GoToMeeting briefings for daily updates regarding the virus and/ or changes to citywide operations • Communicate changes as needed to Landfill Foreman and Landfill employees and Agency Administrator on changes to operations • Work remotely if possible) using GoToMyPC • Landfill Office Desktop set up for remote login Landfill Supervisor • Landfill supervisor Laptop utilized to remote into Landfill Office Desktop Page 14 of 5 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Agency Administrator & Education & Communications Coordinator responsible for informing all stakeholders on changes to operations • Stake Holder Communication Plan • News Releases (NR) • Social Media Posts (SM) • Direct Communication with Large Commercial Customers (DC) ▪ Any changes to facility operations which may impact customers • Examples • RCC Closure (March 17 NR & SM) • Trigger Point - Community Spread Credit Card Only Sales (April 9 NR & SM) • Trigger Point — Greater than 25 local cases Open to Commercial Customers Only • Trigger Point - Stay at Home/Shelter in Place ordered for the City of Dubuque, Dubuque County, State or Iowa or such an order issued by the Federal Government which covers one of those three areas. o Close Saturdays • E-Ticketing possible Resumption of normal operations Landfill Foreman and Landfill Employee Roles and Responsibility • If you feel sick stay home and follow the health departments guidelines • Follow industry best practices for PPE usage • Inform Landfill Supervisor (or designee) of any changes to health status immediately (including changes during the workday). • Practice "physical distance" in the morning and afternoon by staying in groups of ten (10) or less in the break room • Scale Operators will punch in and out remotely at the scale house • Landfill Foreman will work with scale operator on daily payroll submission • Landfill Foreman and Landfill Staff offered additional gloves to perform daily tasks • Landfill Foreman and Landfill Staff offered additional cleaning material to maintain clean equipment and work areas ▪ Common surfaces in all buildings are cleaned twice daily ▪ Equipment is cleaned before and after every shift • Scale House public areas cleaned every half hour Agency Board Meetings • Meetings will be conducted virtually via GoToMeeting • The Public may also attend meetings via conference call pursuant to Iowa Code section 21.8 outlinesthe guidelines to hold an electronic meeting when there are valid concerns that an in -person meeting is "Impossible or impractical" • The public will be invited to contact the board and staff before the meeting or during the meeting via the conference call. Page 15 of 5 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations