IFB_5000_JRN1043_ATT_11_v1.pdf

AW-ALL-STN-FacilitySecurity1070-V5.0

Document Type: Standard Effective Date: / /2023

Program Area: Security Management Facility: ALL

Preparer: Rick Verardi Title: Security Manager

Approval: Shay Roalson Title: Director, Austin Water

Revision Date Revised By Comments

1.0 09/16/2014 Rick Verardi Initial Draft Release

2.0 09/16/2018 Rick Verardi Updated decal issuing / valid dates

3.0 10/24/2019 Rick Verardi Updated escorted access, removed decal, added ID Badges

4.0 05/12/2021 Rick Verardi Updated escorted access, application updated, additional notices/updates

5.0 06/20/2023 Rick Verardi

Badges will expire in 5 years instead of 2 years, badges not used within 90 days be disabled, deactivation and reclaiming of badges.

ATTACHMENT C

Purpose and Scope:

Definitions:

Responsibilities:

Standard:

Additional Information:

References:

Appendix A:

Appendix B:

Appendix C:

Purpose and Scope:

Paramount to Austin Water (AW) is:

The production and delivery of adequate supply of safe drinking water to all customers Uninterrupted collection of wastewater, without spills, and Adequate processing of wastewater to be safely returned to the environment.

AW shall provide high quality physical security at all its facilities and shall initiate, implement, enforce, and update as needed, specific rules and procedures to protect property, personnel, equipment, and material against unauthorized entry, trespass, damage, sabotage, or other acts that might threaten the security of essential facilities, the quality of the drinking water, or the quality of treated wastewater.

Purpose: The purpose of this standard is to provide Contractors and Subcontractors with standard operating methods, directives, protect its assets.

Definitions:

These definitions apply to the use of terms throughout this procedure.

No specified definitions within this standard.

Responsibilities:

No specified responsibilities by title within this standard.

This standard applies to all contractor personnel at Austin Water.

Standard:

1.0 SECURITY PROCEDURE MAINTENANCE

The maintenance and updating of this Facility Security Procedure is the responsibility of the Security Manager with input from the Treatment Program Division Managers and Facilities Management.

This Facility Security Procedure will be reviewed and updated at least yearly. A record of all revisions will be maintained at the front of all copies.

2.0 RESTRICTED AREA ACCESS POLICY

All contractors are required to scan in at all AW facilities using their issued ID badges. They are required to do so at the main entrance gates and of each facility. If scanners are down or unavailable, contractors are required to sign in using paper sign in log.

If a contractor presents a badge that is expired, damaged, or unreadable, it will be confiscated, and the contractor will be denied access. Contractors will be required to contact Security Management to obtain a valid ID badge and authorized access.

Contractor badges that have not been scanned in over 90 days will be automatically disabled.

Contractors attempting to use a disabled badge that has not expired are required to contact Security management to verify the cardholder and job status. Badges that are disabled may be enabled 24 hours after re-verification is complete.

Contractor badges are issued for a maximum of five (5) years. Security Management reserves the right to adjust and/or modify this time frame if reasonable justification is obtained. When a badge expires, a project ends, or a contractor employee is terminated, Security Management will deactivate the badge and deactivated badges, badges for terminated employees, and badges for staff remaining at project completion, and return the badges to Security Management.

2.1 Unescorted Access

background security check. An Austin Water technology badge or identification badge will be issued.

2.2 Escorted Access

Escorted access is not granted to contractors performing regularly scheduled contract work for Austin Water. Escorted access may be granted in situations that necessitate the need for Austin Water staff to be present for the contractors visit. Escorted access, when approved, is allowed provided an Austin Water and/or City of Austin employee physically escorts the visitor and is present with the visitor at all times.

Exceptions to the Escorted access policy are reviewed and approved by Security Management on a case-by-case basis. Contractors requesting escorted access must submit their request in writing to Security Management and the site Supervisor a minimum of 12 hours before they intend to be on site except in emergency situations. Contractors must have written confirmation of an exception to the escort policy from Security Management before being granted site access. Security management can be reached at the following email address:

AWContractorAccessRequest@austintexas.gov.

Any exceptions granted to contractors regarding the Escorted Access policy are valid for one

(1) day. Contractors working for longer than one (1) day are required to apply for unescorted access for each additional day.

In the event of an unplanned facility emergency that requires an immediate response from a contractor, that contractor may be granted temporary access to the facility by Security Management when requested by the Plant Superintendent, Division Manager, or Operations Manager. The contractor must be met at the facility entry point by an Austin Water or approved City of Austin employee escort, must sign the visitor guest log (which will include the name of AW/CoA employee escorting the contractor), and must remain in the presence of the escorting AW/CoA employee for the duration of the visit. Security Management must approve all City of Austin employees assigned to escort on Austin Water property.

BASIC SECURITY RESPONSIBILITIES

2.3.1 Read-and-Follow Requirement

-site Supervisors will be r

Contract Preconstruction Conference, and before any access is permitted to the work site. The

Supervisors will be delivered to AW at least two (2) weeks before the Subcontractor requires access to the site.

in the contents of this Procedure. Contractors and Subcontractors shall instruct their employees on the provisions and requirements of this procedure and shall emphasize the requirements of this Procedure may result in that person being removed from the job site and losing access privileges.

Persons removed from the site for violations of this Procedure may reapply for access to the site if approved by Security Management and the site Superintendent. Security Management reserves the right to refuse access to persons found to have intentionally violated this Procedure.

2.3.2 Basic Security Functions

The basic security functions of Contractors and Subcontractors shall center on the protection of water and wast functions will involve securing and monitoring the project site, controlling access, preventing rocedures and directives.

Contractors and Subcontractors shall provide deterrence against fire, theft, vandalism, and trespass and shall assist in the elimination of safety hazards and security breaches. In some cases, Contractors and Subcontractors will be called upon to assist in the detection and detention of persons guilty of trespassing on or committing offenses on AW property.

provide the enforcement support for criminal acts committed on AW property.

Contractors and Subcontractors shall accurately report and record all transgressions and incidents.

2.4 APPLICATIONS FOR AUTHORITY TO ENTER FACILITIES, BACKGROUND SECURITY

CHECKS AND IDENTIFICATION BADGES

2.4.1 Applications for Authority to Enter Facilities

before that employee is allowed to enter the project site. All information requested on the application shall be provided, including required signatures. Each application submitted shall be an original document. Copies or facsimiles are not acceptable.

Each application shall be accompanied by a complete background security check. Each working days prior to the first day that employee is to work on the secured site to allow for adequate review of the documents. Each background check submitted shall be an original document. Copies or facsimiles are not acceptable.

2.4.2 Background Security Checks

ualifying Criminal

-based background security check for background check must be performed by either the United States Federal Government (FBI) employee resides and from which they obtained The background security check for a non-US citizen shall be performed by their native

-enforcement agency (e.g. a Canadian citizen shall submit a background check performed by the Royal Canadian Mounted Police). Contractors may employ a background check service. Contractors are responsible for ensuring the service conducts the correct type of background check.

The results of each background check shall be dated and submitted as an original, certified official document from the agency performing the check, and shall bear all appropriate letterheads, seals, and signatures. The background check shall clearly indicate the agency performing the check and include their address and telephone number. Background checks

-to Proceed will be acceptable.

Applications and Background Security Checks may be submitted electronically to Security management.

2.4.3 Security Identification Badges

Austin Water utilizes two methods of Security ID Badges

ID Badge: This badge is issued to contractors working at a facility that require access to the facility grounds via the entrance gate. An example would-be long-term contractor. Badges are given an expiration date set to expire at a date determined by Security Management.

Badges are issued for a maximum of five (5) years.

Technology Badge: This badge is issued to contractors working at a facility that require access to secured buildings on an AW site. Examples are the cleaning crew, security guards, and contractor superintendents supervising multiple job sites. Badges are given an expiration date set to expire at a date determined by Security Management. Badges are issued for a maximum of five (5) years. Technology Badges are issued at the discretion of Security Management.

Authorization to enter protected facilities and the issuing of an ID Badge or Technology Badge shall require a review of the background security check and approval from Security Management.

A new background check is required prior to the issuance of another Badge after the previous one expires.

It is the responsibility for each contractor to ensure their identification and technology badge are in good working condition and their badge is renewed prior to expiration.

2.4.4 Identification Badge Control and Handling

All personnel on the job site shall maintain the Security Identification Badge on their person at all times. The Badge should be displayed on their outer clothing in a clear manner. Arm band ID holders are acceptable.

Security Identification Badge holders will take reasonable care to protect their badge from unauthorized use. Badge holders will not allow others to use their badge.

In the event that a Security Badge holder discovers that their badge has been lost, the badge immediately report the loss to the AW Project Sponsor/Manager, and to the AW Plant Superintendent (at treatment plants) or the AW Operation Manager at the South First Support Center (512-972-0502) (for pump stations and reservoirs).

2.4.5 Revoking Access Authorization

Authorization to enter and/or work on any Austin Water site is at the sole discretion of AW and may be revoked at any time.

Authorization to enter secured AW sites shall be revoked immediately for the following reasons:

The badge holder ends their employment with the Contractor or Subcontractor The badge holder allows another person to use their badge, or the badge holder permits, or allows another person without a badge to enter a secured site.

The badge holder acts without authorization to defeat any security device at any secured site.

threaten(s) the quality of the drinking water.

The badge holder has been involved in a criminal action on site and has been determined as a threat to any persons or property at this site.

Personnel in the following positions may revoke Access Authorization:

AW Director and Assistant Directors for Treatment and for Engineering AW Division Heads, Plant Superintendents, and Supervisors in the Treatment Program Area AW Security Manager

City of Austin Public Works Project Manager

Authorization should be immediately revoked to eliminate or mitigate a threat to site security or the security of the water, they shall contact the Project Manager/Sponsor or the escorted from the work site.

2.5 FACILITY SECURITY AND ACCESS CONTROL

2.5.1 Access to Facilities

Access to AW facilities shall be limited to:

City of Austin Public Works or Austin Water employees who possess appropriate unescorted access authorization by AW and have a valid Security Identification Badge.

authorization(s) and possess and wear a proper AW-authorized Security Identification on the site.

permitted access to complete material deliveries and will not be required to obtain a Security Identification Badge. Delivery personnel shall be closely escorted within the secured site by for the time required to unload the material being delivered. Under no circumstances will any delivery personnel be allowed to remain on site for longer than one hour. If delivery of any material or equipment is projected to require more than one hour, an

Background Security Check, and Security Identification Badge will be required for all personnel associated with making that delivery.

Visitors who have been authorized in advance, in writing, by the Plant Superintendent or Division Manager. (Persons who perform work on the site or deliver equipment or materials to the site are not considered to be visitors) Visitors who have been authorized such access must be closely escorted within AW facility by an AW employee who possesses the appropriate access authorization and Security Identification Badge.

The Entry gate guard staff shall maintain a Visitor Register to record all visits. The Visitor Register shall record the name of each visitor, their employer, date of the visit, arrival and departure times, the purpose of visit and the name of the escort. This Visitor Register shall be made available at every project progress meeting and shall be delivered to the AW Project Manager at the end of the project. Visitors do not require an ID badge. Contractors are not eligible for access to the facility as a visitor except for pre-bid meetings.

2.5.2 Site Security Requirements

All AW facilities shall be kept secure at all times. The following provisions, at a minimum shall be maintained:

An eight-foot-high perimeter fence shall be maintained without gaps or holes, with gate(s) locked with a tempered chain and padlock. A security guard may also be employed if desired by the Contractor or required by the Contract.

All perimeter door(s) (if present) shall be locked and alarmed.

Other installed security devices (if present) such as motion detectors, fence monitors and CCTV cameras shall be operational.

All classified material (if present) shall be properly stored.

Operator to contact him/her in the event that a security alarm is triggered on the job site. If an alarm is triggered and the Plant Superintendent or the Central Security Operator is unable enforcement officers will be summoned to the site.

At the beginning of each day that the Contractor or a Subcontractor performs work on a pump station or reservoir site, a Supervisor authorized by the Contractor (and previously identified to the pump station or reservoir Central Security Operator) shall open the security gate to the site as follows:

Place a telephone call to the Central Security Operator (512-972-0502) before unlocking the gate.

Identify themselves and advise the Central Security Operator that they are at the site entrance, identify where on the site they intend to work, and advise that they are about to open the gate. The Central Security Operator will disarm any alarms that might be triggered by the gate opening or by employees working in the areas identified. The Central Security Operator will advise the Supervisor placing the call when the alarms are disarmed.

Unlock the gate, enter the site, and lock the gate or post a guard to assure that only authorized personnel wearing required, proper Security Identification Badges may enter.

At the end of every workday at a pump station or reservoir site, when the last employee has

Operator to advise that everyone has left the site, that the security gate is locked, and that the alarms should be rearmed.

2.5.3 Combinations and Key Controls

Knowledge of the combination of locks and access to any keys will be limited to designated individuals assigned to work in the associated facilities. All combinations will be changed regularly at times designated by the Division Manager, and whenever it is suspected the combination has been compromised.

Facility keys are cut to fit a number of cylinders. If a key shared with the Contractor is lost, all similar lock cylinders, whether present on the site or off the site, will be re-keyed by AW, at the expense of the Contractor.

2.5.4 Operation of Access-Controlled Doors at Remote Facilities Entry to all remote facilities will be coordinated with the Central Security Operator. Many facilities include an access-control door. An access-control door may be used by authorized Security Identification Badge holders for entry and exit using the following procedure:

Entry procedure:

1. Contact the Central Security Operator (512-972-0502) and request permission to enter. Hang up the telephone.

2. The CSO will call back the person requesting to enter (on their previously authorized number) and verify the request.

3. The CSO will unlock the

Badge be presented to the exterior card reader.

4. Unlock the deadbolt (if present)

5. Enter PIN

6. Open door

7. Enter

8. Close the door

Exit procedure:

1. Press crash bar

2. Open door

3. Exit

4. Close the door

5. Lock the deadbolt (if present) 6.

alarms need to be rearmed

7. The CSO shall lock the door and re-arm all alarm devices

8. The CSO shall call back and ask the requestor to verify that the door is locked

2.5.5 Tailgating

Tailgating is the entry of multiple individuals through an access-controlled door or gate without closing the door (or gate) between entries. Tailgating is allowed by authorized ID Badge holders provided that each presents their badge to the card reader or person controlling access prior to entry. Tailgating by unauthorized individuals or anyone not possessing an authorized ID Badge is not allowed.

Additional Information:

These standards supersede all previous Austin Water Facilities Security Operating Documents and memorandums prior to January 2023.

References:

None

Appendix A:

AUSTIN WATER FACILITY SECURITY PROCEDURES FOR CONTRACTORS (1070)

PROJECT NAME: _______________________________________________

CIP/PROJECT NUMBER: _______________________

By signing this document, I acknowledge that I have received a copy of the Austin Water FACILITY SECURITY PROCEDURE FOR CONTRACTORS (1070) and that I have read it and understand its contents. Furthermore, I agree to follow all the provisions contained therein.

CONTRACTOR: _________________________________________________________

PROJECT MANAGER:

Print

SITE SUPERINTENDENT:

Signature

Print Signature

SUBCONTRACTOR: _________________________________________________________

PROJECT MANAGER:

Print

SITE SUPERINTENDENT:

Signature

Print

Signature

Appendix B:

APPLICATION FOR AUTHORIZATION TO ENTER SECURED AUSTIN

WATER FACILITIES

(CONTRACTOR EMPLOYEE)

PROJECT: _____________________________________ Date of Application: ____ - ____ - ____

CONTRACTOR: __________________________________________________________________

SUBCONTRACTOR: _______________________________________________________________

SITE(S) TO BE ACCESSED: _______________________________________________________

APPLICANT: _________________________ _________________________ ___________________ Last Name First Name Middle Name

Job Title: ____________________________________________

Home Address: ____________________________________________________ Birth date: _____ - ____ - ______ Street / Apt No.

City State Country Zip Code

SUPERVISOR: ________________________________ Job Title: __________________________________

Work Telephone No. ____________________________________

AUTHORIZATIONS:

Print Sign

I HAVE READ AND UNDERSTAND THE POLICIES AND PROCEDURES LISTED IN THIS DOCUMENT. I UNDERSTAND THAT ANY VIOLATION OF THOSE POLICIES MAY RESULT IN MY ACCESS TO ALL AUSTIN WATER SITES BEING

REVOKED.

SIGNATURE: ____________________________________

Appendix C:

Criminal History Records Check Disqualifying Criminal Offenses

An individual has a disqualifying offense if the individual has been convicted of, or found not guilty of by reason of insanity, any of the disqualifying crimes listed in this paragraph in any jurisdiction during the 10 years before the date of the individ access authority. The disqualifying criminal offenses are as follows:

1 Felony involving burglary.

Yes No

13 Murder.

Yes No

2 Felony involving theft. 14 Assault with intent to murder.

Felony involving dishonesty, fraud, or misrepresentation. 15 Espionage.

Felony involving possession or distribution of stolen property. 16 Rape or aggravated sexual abuse.

5 Aggravated assault. 17 Kidnapping or hostage taking.

6 Felony involving bribery. 18 Treason.

7 Terrorist threat. 19 Class A Criminal Mischief (500 or Above).

Armed or felony unarmed robbery. 20

Criminal Trespass at Critical Infrastructure Facility.

Felony involving willful destruction of property. 21

Burglary of Vehicle

Felony involving importation or manufacture of a controlled substance.

Engaging in Organized Criminal Activity

11 Extortion. 23 Conspiracy or attempt to commit any of the criminal acts listed on this page.

12 Felony arson.

By signing below, I certify that I do not have any of the above listed disqualifying criminal offenses.

Also signing below indicates my understanding that I have a continuing obligation under Title 49, CFR, Parts held, have been convicted or found not guilty by reason of insanity to any of the disqualifying crimes listed on this application or the federal security regulations.

Also signing below indicates the information I have provided on this application is true, complete, and correct to the best of my knowledge and belief and is provided in good faith. I understand that a knowing and willful false statement on this application can be punished by fine or imprisonment or both. (See section 1001 of Title 18 United States Code.)

PRINT NAME SIGNATURE DATE