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CALIFORNIA JPIA
El Capitan Room
8081 Moody Street
La Palma, California 90623
(Teleconference Location Listed Below)
AGENDA
EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS
SPECIAL MEETING
MAY 11, 2015
5:30 P.M.
CALL TO ORDER
President Curtis Morris
PLEDGE OF ALLEGIANCE
President Curtis Morris
ROLL CALL
John Addleman
Tom Chavez
Carol Chen
Lori Donchak
Daryl Hofmeyer
Mary Ann Reiss
David Spence
Secretary Margaret Finlay
President Curtis Morris
ORAL COMMUNICATIONS
Any persons present desiring to address the Executive
Committee on any proper matter may do so at this
time.
REPORTS AND RECOMMENDATIONS
1. CONSIDERATION
Notice of Intent to Cancel Participation in all
California JPIA Joint Protection Programs for the City
of Calexico and Notice of Intent to Cancel Membership
of the City of Calexico
Executive Committee Agenda
ADJOURNMENT
May 11, 2015
To a meeting on May 27, 2015, at 5:30 p.m.,
in the El Capitan Room of the California JPIA
8081 Moody Street, La Palma, CA 90623
TELECONFERENCE PARTICIPATION
At the announced time of the meeting, teleconference participants (unless otherwise instructed)
shall call the California JPIA’s teleconference number at 1-888-394-8197 and when prompted,
enter the participant code 409920, and identify themselves for the record.
Teleconference Locations
266 Encanto Avenue, Pismo Beach, CA 93449
2221 Rim Road, Duarte, CA 91008
1040 Vista Del Valle, La Canada Flintridge, CA 91011
In compliance with Americans with Disabilities Act, if you need special assistance to participate in this
meeting, please contact the Administrative Analyst at (562) 467-8774. Notification 24 hours before
meeting will enable the Authority to make reasonable arrangements to ensure accessibility.
(28 CFR 35.102.35.104 ADA Title II)
CALIFORNIA JPIA
AGENDA ITEM
To:
EXECUTIVE COMMITTEE
From:
Jonathan Shull, Executive Director
By:
Alex Mellor, Risk Manager
Date:
May 11, 2015
Subject:
Notice of Intent to Cancel Participation in all California JPIA Joint
Protection Programs for the City of Calexico and Notice of Intent to Cancel
Membership of the City of Calexico
Background
As part of the Authority’s Healthy Member Protocol, staff is charged with monitoring individual
members for “red flags” that may indicate a member is experiencing difficulties in its risk
management practices. Upon the observation of these indicators, Authority staff is expected to
engage with the member in working toward resolution of the issues. Appropriate resolution of
the issues serves to reduce the risk posed by the member to the remainder of the self-insurance
pool.
For the past several years, Authority staff has been concerned with numerous issues arising in the
City of Calexico. Actions and inactions by the City’s elected officials and management have
contributed greatly to this concern. Also alarming has been the frequent turnover of key
executive management positions, including at least seven different individuals holding the title of
city manager, acting city manager, or interim city manager in the last ten years, at least three
different finance directors during that timeframe, and at least four different acting, interim, or
permanent police chiefs within the past three years alone.
On September 25, 2013, in accordance with Article 26 of the Joint Powers Agreement, a
Performance Improvement Plan (PIP) was developed for City of Calexico. The Authority
Executive Committee approved the PIP, and the Calexico City Council adopted it on October 15,
2013. The PIP was developed in response to a number of areas of concern identified by
Authority staff, including:
•
The level of involvement by council and other community stakeholders (specifically the
Calexico Police Officers’ Association) in the hiring of Police Chief Pompeyo Tabarez
(May 2013)
City of Calexico
May 11, 2015
Page 2
•
•
•
Allegations of sexual harassment and discrimination by Councilmember Hurtado against
Councilmembers Hodge, Castro and Kim (June 2013)
Lack of responsiveness to the city’s LossCAP Action Plan and Risk Management
Evaluation (2009-2013)
Extremely unfavorable recent loss experience in the liability and workers’ compensation
programs
The PIP established seven performance standards to be met by March 25, 2015, in order to
improve the city’s governance and risk management practices. Those standards are as follows.
1. Meet with Authority staff no later than 30 days after the adoption of the Performance
Improvement Plan to establish timelines for completion of the City’s LossCAP Action
Plan. Dates of completion for all items shall not be beyond the term of the Performance
Improvement Plan.
2. Meet quarterly with Authority staff in order to review the status and progress of the
City’s Performance Improvement Plan. Quarterly dates to be established after the
adoption of the Performance Improvement Plan by the City Council.
3. Notify the Authority of any internal investigation and the reason for such an investigation
of all employees, including Police Officers of the City. All investigations must be
completed in a timely fashion. The City is required to provide quarterly updates on all
internal investigations until said investigations are completed. The results of the internal
investigations will be submitted to the Authority for review, including any recommended
corrective action as a result of the internal investigation, including any proposed adverse
personnel action (discipline) before it is administered.
4. Complete an internal review of Police Department policies and procedures and develop a
plan of action to address any identified deficiencies. The plan of action will be submitted
to the Authority for review and approval.
5. Engage in a timely and good faith interactive process with all employees who have
disabilities covered under ADA and FEHA. Notify the Authority immediately of City
Council interference in this, or any other personnel matter.
6. All Councilmembers are required to complete specific training on council relations and
cooperation as identified and provided by the Authority no later than 60 days after
adoption of the Performance Improvement Plan.
7. All Councilmembers are required to complete specific training on preventing
discrimination and harassment as identified and provided by the Authority no later than
60 days after adoption of the Performance Improvement Plan.
Since the adoption of the PIP, Authority staff has been monitoring Calexico closely, and has
become aware of a number of other issues which further raise the Authority’s level of concern:
•
•
Complete lack of response from certain councilmembers to leadership training provided
by Authority staff, as evidenced by behavior during council meetings (March 2014)
Forced resignation of City Manager, Oscar Rodriguez. Specifically, the process that led
up to Mr. Rodriguez’ termination, and the method of that termination (May 2014)
City of Calexico
May 11, 2015
Page 3
•
•
•
Ongoing investigation by the FBI into possible corruption and other criminal acts
committed by Calexico Police Department officers (October 2014)
Findings by Imperial County District Attorney that the city council violated the Brown
Act on numerous occasions relative to the termination of City Manager Rodriguez
(March 2015)
Involvement by the Department of Justice in performing a review of Calexico Police
Department practices and operations (April 2015)
In addition, it has been necessary for Authority staff to contact Calexico executive management
and councilmembers on a number of occasions to impress upon them the importance of the PIP
and to dissuade them from taking actions that may violate the PIP. These include:
•
•
•
•
Letter to Interim City Manager Warne detailing lack of progress on the PIP and
impressing upon him the importance of same (July 2014)
Letter to city council dissuading their interference in an ongoing internal investigation in
the police department (August 2014)
Letter to city council dissuading their interference in recent termination of Police Chief
Tabarez (October 2014)
Letter to city council expressing the need for stability in the City’s executive
management (April 2015)
Since the adoption of the PIP, Authority staff has worked alongside Calexico staff to provide the
expertise and resources necessary to assist the city with achieving the seven performance
standards laid out in the PIP. This assistance has included training in the areas of leadership and
preventing discrimination and harassment for the city council, guidance in developing policies
and procedures to satisfy outstanding LossCAP action items, and professional advice from
Authority subject matter experts in areas such as workers’ compensation and human resources.
Discussion
In general, Calexico’s response to the PIP has not met the Authority’s expectations. Despite
completing six of the seven performance standards, certain councilmembers continue to violate
the spirit of the PIP and, through their actions, continue to expose the city and other members of
the Authority to unnecessary risk.
However, staff has been generally encouraged by Calexico’s improved response to the PIP since
the arrival of Richard Warne as Interim City Manager, and his hiring of Michael Bostic as Chief
of Police. Mr. Warne has shown a keen understanding of the need for a robust risk management
program, and has taken steps to improve Calexico’s standing with the Authority, including
making good progress on the many outstanding LossCAP Action Items, and taking the lead on
developing a workers’ compensation “task force” to address Calexico’s highly unfavorable loss
experience in that program. Further, Chief Bostic has taken a number of steps to address alleged
City of Calexico
May 11, 2015
Page 4
corruption in the Calexico Police Department and to improve the department’s practices and
operations.
As Calexico continues to work toward completion of the PIP, stability at the city’s executive
management level is critical, particularly in the positions of city manager and police chief. On
May 5, 2015, the City Council took action on a 3-2 vote to begin the recruitment for a permanent
city manager, while at the same time indicating interest in continuing to negotiate an agreement
with Mr. Warne to accept the position on a permanent basis.
Observation
Authority staff believes that the City Council, acting as a whole, has lost sight of the importance
of risk management within the organization, it has been inconsistent in its commitment to the
goals and objectives of the Performance Improvement Plan, and it has taken actions that are
detrimental to City of Calexico, its citizens, employees, community stakeholders, and other
members of the Authority.
As such, staff feels that it is in the best interest of the Authority that the City of Calexico should
be terminated from participation in the protection programs and terminated from membership.
It is recommended that the Executive Committee direct staff to issue Calexico notice of intent to
cancel participation in the Authority’s joint protection programs effective July 1, 2015, and
notice of intent to initiate cancellation of Calexico’s membership in the California JPIA as soon
as possible.
Recommended Action
1. Notify City of Calexico of the Authority’s intent to cancel its participation in the
Authority’s joint protection programs, effective July 1, 2015.
2. Notify City of Calexico of the Authority’s intent to cancel its membership in the
California JPIA, effective July 1, 2015.
3. Demand payment of funds due and payable to the Authority at the time of cancellation.
Attachments
Executive Committee Performance Improvement Plan Agenda Item from August 28, 2013
Healthy Member Protocol
Calexico Performance Improvement Plan
Executive Committee Agenda Item from August 28, 2013
CALIFORNIA JPIA
AGENDA REPORT
To:
EXECUTIVE COMMITTEE
From:
Jonathan Shull, Chief Executive Officer
By:
Robert May, Risk Management Program Manager
Alex Mellor, Risk Manager
Date:
August 28, 2013
Subject:
City of Calexico Performance Improvement Plan
Background
As directed by the Executive Committee and as part of the Healthy Member Protocol, staff is
engaged in monitoring individual members for “red flags” that may indicate a member is
experiencing difficulties in its risk management operations. Areas of concern include an increase
in member claim frequency and severity; allegations or reports of bribery, conflicts of interest,
unfairness, dishonesty, or fraud; actions that negatively affect employee morale and
performance; or adverse public policy, including actions or inactions that create legal liability.
Upon observance of such indicators, staff arranges a meeting with the member of concern. The
process of a Performance Improvement Plan (PIP) is explained and additional information
required for development of the plan is obtained. The PIP outlines specific standards that must be
achieved in order for the member to remain in good standing with the Authority. Upon the
Executive Committee’s approval of the PIP, the member must formally agree to the plan by
adopting a resolution by action of its governing body. Should the member be unsuccessful in
completing the PIP or at any time during the plan period default in one or more of the plan
elements, the Chief Executive Officer may recommend to the Executive Committee imposition
of specific copayments or deductibles; coverage exclusions for specific activities or conditions;
elimination from participation in a joint protection program; or initiation of cancellation
procedures from the membership in the Authority.
Discussion
Recently, a number of areas of concern involving City of Calexico’s governance and
management have come to the Authority’s attention. These include:
City of Calexico PIP
August 28, 2013
Page 2
A vote of no confidence in the Chief of Police by the Calexico Police Officers’
Association (POA) resulting in his ouster (January, 2013)1
Interference by the City Council and various community stakeholders (including the
Calexico POA) in the recruitment and selection process of the new Chief of Police
(February – May, 2013)2
Allegations of sexual discrimination and harassment by the Mayor against other council
members resulting in a complaint being filed with the Department of Fair Employment
& Housing (June, 2013)3
Considerable delays in the interactive process required by the Americans’ with
Disabilities Act and California Fair Employment Housing Act as a result of City Council
interference and executive inaction. In one instance, the interactive process took over a
year to complete (2012 – 2013)
Lack of responsiveness to the City’s LossCAP Action Plan and Risk Management
Evaluation (2009 – 2013)
Unfavorable recent loss history in the liability and workers’ compensation programs
(2008 – 2013)
The aforementioned areas of concern meet three items of the Healthy Member Protocol that
suggest a member represents a significant exposure to the rest of the pool:
An increase in member claim frequency and severity;
Allegations that negatively affect employee morale and performance, including
allegations or reports of harassment or discrimination;
Adverse public policy, including actions or inactions that create legal liability.
Based on the above, staff requested a meeting with City Manager, Oscar Rodriguez, on May 21,
2013. After several attempts, Authority staff met with Mr. Rodriguez on July 15, 2013, to discuss
the Authority’s concerns and the potential for a PIP. During the meeting, it became evident that
intervention is necessary to help prevent or limit exposure to the rest of the pool.
City of Calexico received a Risk Management Evaluation (RME) on April 24, 2013. The RME
findings were presented to the City in a LossCAP presentation on July 29, 2013. The RME found
that only a handful of the recommendations made in the 2009 RME have been implemented.
Further, there are still a large number of recommendations made in the 2005 RME that have not
yet been implemented.
City of Calexico’s loss history is unfavorable in both the liability and workers’ compensation
programs.
1
http://articles.ivpressonline.com/2013‐01‐22/police‐union_36491506 http://www.ivpressonline.com/news/community‐voices‐concern‐at‐chief‐closed‐session/article_d873ea1e‐64cf‐
590b‐92d8‐7ddec891885c.html 3
http://www.ivpressonline.com/news/mayor‐alleges‐sexual‐discrimination‐by‐council‐
members/article_5b863ea9‐34b1‐5a86‐b2c5‐2410368465c5.html 2
City of Calexico PIP
August 28, 2013
Page 3
The City’s total liability incurred for the past five coverage periods (2008/09 - 2012/13) is
$2,072,690, with 50 total claims. There were 45 claims closed with zero dollars spent. 64% of
the total incurred is attributable to claims arising out of the police department.
The total incurred under workers’ compensation for the past five coverage periods is $3,677,724,
with 243 total claims. Currently, there are 71 open claims. A high of 127 claims stem from the
police department.
The Authority has positioned itself to help maintain healthy members and address member
activities that are in opposition to the Authority’s mission statement. Consequently, the
Performance Improvement Plan establishes a framework to assist City of Calexico and also
maintain the fiduciary interests of the pool. Ultimately, the responsibility of restoring City of
Calexico to a position of good standing rests with the City Council.
Recommended Action
Staff is seeking the following direction:
1. Development of a PIP for City of Calexico. The following elements shall be included:
a. City Council to adopt by resolution the Performance Improvement Agreement no
later than thirty days after adoption by the Executive Committee.
b. Meet with Authority staff no later than 30 days after adoption of the PIP by the
City Council to establish timelines for completion of the City’s LossCAP Action
Plan. Dates of completion for all items shall not be beyond the term of the PIP.
c. Meet quarterly with Authority staff in order to review the status and progress of
the PIP. Quarterly dates to be established after adoption of the PIP by the City
Council.
d. Notify the Authority of any internal investigation and the reason for such an
investigation of all employees, including Police Officers of the City. All
investigations must be completed in a timely fashion. The City is required to
provide quarterly updates on all internal investigations until said investigations
are completed. The results of the internal investigations will be submitted to the
Authority for review, including any recommended corrective action as a result of
the internal investigation, including any proposed adverse personnel action
(discipline) before it is administered.
e. The City’s Police Chief to complete an internal review of Police Department
policies and procedures and develop a plan of action to address any identified
deficiencies. The plan of action will be submitted to the Authority for review and
approval. The internal review shall be completed no later than October 31, 2013.
f. Engage in a timely and good faith interactive process with all employees who
have disabilities covered under ADA and FEHA. Notify the Authority
immediately of City Council interference in this, or any other personnel matter.
City of Calexico PIP
August 28, 2013
Page 4
g. All Councilmembers are required to complete specific training on council
relations and cooperation as identified and provided by the Authority no later than
60 days after the adoption of the PIP.
h. All Councilmembers are required to complete specific training on preventing
discrimination and harassment as identified and provided by the Authority no
later than 60 days after the adoption of the PIP.
2. Meet with the City Manager to discuss the elements of the action plan prior to adoption
by the Executive Committee.
3. Bring a Resolution of Adoption for the PIP to the September 2013 Executive Committee
meeting.
Attachments:
2013 Risk Management Evaluation
LossCAP Action Plan
Liability Program Overview Sheet
Workers’ Compensation Overview Sheet
Performance Improvement Plan Matrix
Performance Improvement Plan Agreement
California JPIA
LossCAP Program
Risk Management
Evaluation
City of Calexico
April 24, 2013
City of Calexico
Risk Management Evaluation [2]
Table of Contents
Table of Contents......................................................................................................2
Executive Summary...................................................................................................3
Risk Management Improvements ...............................................................................4
Concurrent Action Items ............................................................................................5
New Action Items ................................................................................................... 11
Human Resources ................................................................................................... 11
Infrastructure Management ..................................................................................... 12
Parks and Playground Management.......................................................................... 16
Report Summary ..................................................................................................... 18
Agency Exemplar .................................................................................................... 19
Evaluation Checklist ................................................................................................ 22
City of Calexico
Risk Management Evaluation [3]
Executive Summary
This report contains the findings of an independent Risk Management Evaluation of the
City of Calexico. The evaluation was conducted on behalf of the California Joint Powers
Insurance Authority (California JPIA) and concluded on April 24, 2013.
The California JPIA extends its thanks to the staff for their support and assistance in
completing this evaluation.
This report is part of the Authority’s Loss Control Action Plan (LossCAP). LossCAP is a
comprehensive program designed to assist your Agency in addressing areas in which
risk exposure or loss data support the need for change in operations or activity. This
report is an important component of the LossCAP program and is arranged to outline
the various areas of concern identified during the evaluation. Specifically, the Risk
Management Evaluation (RME), although not exhaustive in scope, does this by
examining key areas of your operations.
Action items made are drawn from information provided by Agency staff and conditions
observed at the time of the evaluation and are measured against various applicable
statutes, regulatory codes, and Best Risk Management Practices. Best Risk Management
Practices (BRMP) are accepted in the professional community as those measures best
able to control risk exposure. BRMP do not have an associated regulatory requirement,
but are considered sound measures to reduce losses. Each action item may be
supported by a standard (statute, regulatory code, or publication) and/or resource, and
will be noted accordingly; otherwise, it is considered a BRMP. Your Agency is
encouraged to act upon the findings contained herein, in a manner that is consistent
with their importance to your Agency.
If applicable, this report provides your Agency with a status report on previously made
action items by comparing them against current practices. As a result, each action item
is classified as “new” or “concurrent.” New action items are classified as urgent,
important, or average priority.
Risk management, loss control, and safety are daily responsibilities of your Agency.
Visits and related efforts made by the California JPIA are not considered or intended to
supplant your Agency’s comprehensive risk management and safety programs.
Successfully managing risk ensures that your Agency is able to reduce impact on key
areas of your operations, including services, personnel, and property.
Finally, we have included an Agency Exemplar at the end of the report to serve as a
guide to help our members better understands the elements of good risk management.
City of Calexico
Risk Management Evaluation [4]
Risk Management Improvements
The City of Calexico is commended for implementing the following risk management
measures since the previous RME was conducted:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Establishing a complaint logging system through GovPartners.
Revising the performance evaluation process to include safety compliance.
Developing a Volunteer Handbook.
Developing vehicle accident procedures.
Developing an ADA Grievance Policy.
Developing an ADA Transition Plan.
Performing an ADA Self-Evaluation.
Reporting volunteers on the Underwriting Report.
Developing a Fire Apparatus Inspection Program.
City of Calexico
Risk Management Evaluation [5]
Concurrent Action Items
This section identifies prior action items not acted upon by your Agency.
Action Item: 05-11
Action Required:
Revise the Agency’s existing Vehicle Usage Policy. The policy should include, among
other items, a section addressing the use of cell phones and other electronic devices
during vehicle operation.
Action Item: 05-12
Action Required:
Consider participating in the California JPIA Crime Program. This program may
provide broader coverage at a lower cost than the Agency’s current Fidelity
Insurance Program.
Action Item: 05-16 & 09-16
Action Required:
Develop and implement a formal program for the periodic inspection, repair, and
replacement of sidewalks in order to better manage the overall Sidewalk Maintenance
Program.
Regularly inspect sidewalks for uneven surfaces that might pose a trip hazard.
Tripping hazards should be considered between adjacent concrete sections as well as
between the adjacent curb and the sidewalk where the curb abuts the sidewalk.
Hazards identified through the inspection process should be noted on a checklist.
Vertical variance nearing the defined threshold should be marked at the time of the
inspection with spray paint that will provide sufficient contrast with the color of the
sidewalk. The recommendation to use spray paint to demark potential hazards is a
means of satisfying the Agency’s obligation to warn the public of known hazards.
Consideration should be given to more obvious warning mechanisms when the
situation warrants. Once a defect has been marked, the Agency must act within a
reasonable period of time to correct the condition.
Inspections should occur at sufficient frequency to allow identification of potential
hazards, in sufficient time to correct the hazard, before they reach the repair
threshold as defined in the Agency’s administrative policy. For example, if the
Agency’s administrative policy states that potential trip hazards will be corrected
before the vertical variance reaches 1”, then vertical variances identified through the
inspection process should be noted when they reach 1/2”-3/4”. Record of each
hazard correction should be maintained according to the Agency’s Records Retention
Policy; a minimum retention of five years is recommended.
City of Calexico
Risk Management Evaluation [6]
Action Item: 05-18 & 05-40
Action Required:
Develop and implement a program to regularly inspect Agency facilities to identify
hazardous conditions and practices that require corrective or preventive measures,
consistent with the requirements of Cal/OSHA. This program should be coordinated
with the inspection program required by the Injury and Illness Prevention Program
and should include documentation of identified deficiencies and corrective actions
that are completed or planned.
Action Item: 05-19
Action Required:
Develop and implement an Operations and Maintenance Program to manage
exposures to asbestos-containing materials and lead-based paint, consistent with the
requirements of the California Code of Regulations, Title 8. The program should
include employee awareness training. It should also contain a provision advising all
employees, service vendors, contractors, and tenants of the known presence of
asbestos-containing materials (ACM) and lead-based paint (LBP) in Agency facilities,
as well as any pre-1978 facilities that have not been sampled. Awareness training
reduces the potential for any accidental disturbance of ACM and LBP, and it ensures
that proper response procedures are initiated in the event of an incident.
Action Item: 05-30 & 09-19
Action Required:
A formal, written playground safety and risk management program should be
developed to include the following:
A formal policy specifying playground inspection, maintenance, and repair
standards;
An initial audit of playground facilities by a Certified Playground Safety
Inspector (CPSI);
Provision of required signage/labels;
Ongoing inspection, repair, and maintenance standards;
Phasing out and/or replacement of hazardous and/or noncompliant
equipment; and
Ongoing renovation as needed to comply with ADA accessibility standards
Recordkeeping/documentation standards.
Action Item: 05-33
Action Required:
Install signs in the vicinity of playground equipment to indicate the age group for
whom the equipment was designed. In playgrounds intended to serve children of all
ages, the layout of pathways and the landscaping of the playground should show the
distinct areas for the different age groups.
City of Calexico
Risk Management Evaluation [7]
Action Item: 05-37
Action Required:
Retrofit or replace bleachers that do not meet the current guidelines for bleachers.
Action Item: 05-38
Action Required:
Rental agreements should include indemnification and hold harmless language, and
should contain insurance requirements as recommended by the California JPIA.
Require facility renters to provide evidence of sufficient insurance to support the
indemnity agreements in the facility rental agreements.
Action Item: 09-01
Action Required:
Develop website Terms and Conditions for Use and a Privacy Policy, and post these
to the Agency’s website.
Action Item: 09-02
Action Required:
The Agency website should be modified as needed to meet standards of Section 508
of the Rehabilitation Act in order to provide website accessibility to all persons with
disabilities.
Action Item: 09-04
Action Required:
Either formally disband the safety committee and reassign its defined responsibilities
to other Agency staff, or resume regular meetings at the specified frequency and of
the specified content, as outlined within the Agency’s written Injury and Illness
Prevention Program. Should the Agency decide to resume the safety committee’s
efforts, it should consider broadening the scope of issues covered during safety
committee meetings, and keep a file of meeting agendas and minutes of items
discussed and actions taken.
Action Item: 09-06
Action Required:
Develop a written Records Retention Policy that addresses all types of records,
including electronic data and media.
Action Item: 09-08
Action Required:
A Trenching and Excavation Safety Program consistent with the requirements of
Cal/OSHA should be developed. Training should be conducted as needed and as
required.
City of Calexico
Risk Management Evaluation [8]
Action Item: 09-08
Action Required:
Develop and implement an Emergency Action Plan consistent with the requirements
of Cal/OSHA. This Plan shall be in writing and shall cover those designated actions
employers and employees must take to ensure employee safety from fire and other
emergencies.
Elements of the Plan should include (at a minimum):
Emergency escape procedures and emergency escape route assignments;
Procedures to be followed by employees who remain to operate critical plant
operations before they evacuate;
Procedures to account for all employees after emergency evacuation has been
completed;
Rescue and medical duties for those employees who are to perform them;
The preferred means of reporting fires and other emergencies;
Names or regular job titles of persons or departments who can be contacted for
further information or explanation of duties under the Plan;
An employee alarm system that complies with Article 165; and
The types of evacuation to be used in emergency circumstances.
Action Item: 09-08
Action Required:
Assess employee exposure to hazardous noise levels, document the findings, and
include this in the centralized Safety Manual. This program should contain provisions
for pre-employment assessment, appropriate hearing protection, annual audiometric
tests, annual employee training, and periodic environmental assessments. Determine
if existing machinery emits noise greater than 85 dB and how long employees are
exposed to the machinery. If the research indicates that employees are exposed to
noise levels in excess of 85 dB for an eight-hour time-weighted average, a Hearing
Conservation Program consistent with the requirements of Cal/OSHA should be
developed.
Action Item: 09-08
Action Required:
Develop a Hazardous Waste Operations and Emergency Response Plan in compliance
with Cal/OSHA, Title 8, Section 5192.
City of Calexico
Risk Management Evaluation [9]
Action Item: 09-08
Action Required:
Assess employee exposure to blood or other potentially infectious materials,
document the findings, and develop and implement a written Bloodborne Pathogens
Exposure Control Plan if required. Employers are required to develop and implement
this program when employees are reasonably anticipated to have this occupational
exposure. The Plan should be included in the Agency’s centralized Safety Manual.
Action Item: 09-08
Action Required:
Consider developing and implementing a Repetitive Motion Injury Control
(Ergonomic) Program consistent with the requirements of Cal/OSHA. This is required
where a repetitive motion injury (RMI) has occurred to more than one employee
under the following conditions:
The RMIs were predominantly caused by a repetitive job, process, or operation;
The employees incurring the RMIs were performing a job process, or operation
of identical work activity;
The RMIs were musculoskeletal injuries that a licensed physician objectively
identified and diagnosed; and
The RMIs were reported by the employees to the employer in the last twelve
months.
Action Item: 09-11
Action Required:
Agency policy should be updated to reflect case law which prohibits blanket drug
screening of employment applicants. The Agency should develop a list of safetysensitive positions for which employment is contingent upon screening for illegal or
controlled substances. Accordingly, only those applying for positions identified as
safety-sensitive should be screened for illegal or controlled substances.
Action Item: 09-14
Action Required:
Develop and implement a program to regularly inspect Agency commercial vehicles
to identify hazardous conditions that require repairs or preventive maintenance. A
minimum inspection frequency of monthly is recommended.
Action Item: 09-15
Action Required:
Develop and implement a Tree Inspection and Maintenance Program.
City of Calexico
Risk Management Evaluation [10]
Action Item: 09-17
Action Required:
Develop and implement formal inspection and repair standards to guide the
inspection and maintenance of streetlights, pavement markings, traffic control
signals, roadway signs, and related infrastructure features.
Action Item: 09-20
Action Required:
The Agency should work with the local Law Enforcement Agency to increase efforts
to enforce the existing skate park ordinances.
Action Item: 09-22
Action Required:
Develop and formalize the Fire Department’s Policy and Procedure Manual, and have
these policies and procedures formally adopted by the Agency.
City of Calexico
Risk Management Evaluation [11]
New Action Items
Human Resources
Action Item: 2013-001
Observations:
The Agency’s Personnel Manual and personnel policies are outdated.
Action Required:
Periodically update the Personnel Manual to reflect changes in personnel rules and
regulations.
Employees should be periodically required to sign an acknowledgement of these
policies. To ensure regular acknowledgement of the policies, this can be
incorporated into annual performance evaluations.
Standards:
Best Risk Management Practices
Action Item: 2013-002
Observations:
Background checks are performed on management level, Police, and Fire
Department employees only.
Action Required:
Perform background checks on all employees, including those who work with or
around minors.
Standards:
Public Resources Code, Section 5164, and Penal Code, Section 11105.3
Resources:
A link to additional website resources on Criminal Background Check requirements
are located in the Resource Center of the California JPIA‘s website or the National
Recreation and Park Association – Operation TLC2 “Making Communities Safe”
http://www.ssci2000.com/Operation-TLC2/operation-tlc-volunteer-managementand-background-screening-program.html.
City of Calexico
Risk Management Evaluation [12]
Infrastructure Management
Action Item: 2013-003
Observations:
General housekeeping could be improved
in some places.
Action Required:
All areas should be maintained in a neat
and orderly manner, free from any
condition that would create a fire or life
hazard or a condition which would add to
or contribute to the rapid spread of fire.
All areas should be cleaned and organized to reduce injury and property damage
hazards.
Standards:
California Code of Regulations, Title 19, Section 3.19, Housekeeping
California Code of Regulations, Title 8, Section 3241, Live Loads
California Fire Code, Section 1303.2, Housekeeping
Action Item: 2013-004
Observations:
One or more electrical switches and/or
wall plates were damaged and/or
missing.
This situation increases the risk of fire
and shock incidents.
Action Required:
All missing and/or damaged electric
switches and wall plates should be
repaired and/or replaced. Wall plates and switch covers should be replaced prior to
leaving the worksite.
Standards:
California Fire Code, Section 605.6, Unapproved Conditions
City of Calexico
Risk Management Evaluation [13]
Action Item: 2013-005
Observations:
Portions of the fence located at the
Water Distribution Plant were damaged.
The fence conditions pose attractive
nuisance and injury hazards.
Action Required:
Damaged fencing should be repaired.
Standards:
Best Risk Management Practices
Action Item: 2013-006
Observations:
Some of the roofing materials at the City
Yard were deteriorated.
Action Required:
Roofing materials should be repaired or
replaced as necessary.
If the damage compromises the safety of
persons who utilize these areas, the
areas should be barricaded until repairs
have been completed.
Standards:
California Code of Regulations, Title 24, Section 3401.2, Maintenance
City of Calexico
Risk Management Evaluation [14]
Action Item: 2013-007
Observations:
It was not determined whether
emergency eyewash stations are
inspected and tested on a regular basis.
Action Required:
All emergency eyewash stations should
be tested and flushed weekly to verify
proper operation. Plumbed units should
be flushed for a minimum of three
minutes.
All inspection information should be documented and maintained for a minimum of
one year.
Standards:
California Code of Regulations, Title 8, Section 5162, Emergency Eyewash and
Shower Equipment
Action Item: 2013-008
Observations:
Faucet-mounted eyewash stations are
provided in some areas. These types of
units may not be approved eyewash
stations.
Action Required:
Emergency eyewash units and/or
emergency showers that meet the
requirements of ANSI Z358.1 should be
installed and maintained in areas where injurious corrosive chemicals are stored,
used, and/or otherwise handled and exposure is possible.
Standards:
California Code of Regulations, Title 8, Section 3400, Medical Services
California Code of Regulations, Title 8, Section 5162, Emergency Eyewash and
Shower Equipment
City of Calexico
Risk Management Evaluation [15]
Action Item: 2013-009
Observations:
Some of the hazardous waste containers
at the City Yard were not properly
labeled.
Action Required:
Hazardous waste containers should be
labeled with appropriate Cal/EPA labels.
The labels should be completely and
properly filled out and should be
replaced if they become illegible.
Standards:
California Code of Regulations, Title 22, Section 66279, Standards for Used Oil
Management
California Code of Regulations, Title 22, Section 66262.31, Labeling
City of Calexico
Risk Management Evaluation [16]
Parks and Playground Management
Action Item: 2013-010
Observations:
One or more of the required signs or
labels were faded, illegible, or missing.
Action Required:
Required signage and/or labels should be
repaired or replaced when they become
faded, illegible, or missing.
All informational signs should be
periodically reviewed for clarity and
legibility.
Signs and labels should comply with the description found in Section 14 of ASTM
F1487.
Standards:
California Health and Safety Code, Sections 115725-115735
Action Item: 2013-011
Observations:
Several playgrounds require preventative
maintenance.
Action Required:
Focus maintenance on playground
equipment, repairing or replacing
damaged or worn parts, and fastening
devices. Some pieces of playground
equipment are made of wood. Wood
material deteriorates when exposed to
sun and changing weather conditions for
extended periods of time. Therefore,
frequent inspections for splintering or
broken parts should be made on wood
structures. New playground equipment
should be purchased to replace that
made of wood.
Standards:
U.S. Consumer Product Safety
Commission’s Public Playground Safety Handbook; California Health and Safety Code
Sections 115725 – 115750
City of Calexico
Risk Management Evaluation [17]
Action Item: 2013-012
Observations:
The Agency does not formally inspect parks and related facilities.
Action Required:
Perform regular, formal inspections of parks and fields to identify the following: hard
ground; damaged, depressed, or protruding irrigation components; excessive wet
areas; missing delineations; holes or divots in the play surface; foreign objects; and
fields in need of reseeding. Inspections should also include a review of park lighting,
walking surfaces, benches/bleachers, fences, parking areas and other site-specific
features. Identified deficiencies should be corrected in accordance with Agency
policy.
Resources:
A sample checklist has been developed to augment parks and playground inspection
programs, which are located in the Resource Center of the California JPIA’s website.
City of Calexico
Risk Management Evaluation [18]
Report Summary
The information noted in this report is based upon an assessment of your Agency’s
overall operations. Because the evaluation is only a snapshot in time, your Agency
should continue evaluating its risk management practices, and take action as necessary
when conditions change. Your Agency need not wait on a formal process to identify its
risk exposures.
Each observation was carefully documented, and attention was given to ensure its
accuracy. The observations identify risk exposures that, if not addressed, have the
potential for adversely impacting your Agency’s operations. Concurrent observations
may have been made which represent the greatest exposures for potential severity.
Your Agency should pay special attention to these concurrent observations. Thank you
again for your partnership in completing this undertaking.
We look forward to working with you in managing your Agency’s risk.
City of Calexico
Risk Management Evaluation [19]
Agency Exemplar
An Agency Exemplar has a structure in place to effectively lead Agency-wide risk
management policies and practices. These policies and practices are part of the
organizational culture. Such policies and practices include the adoption and
implementation of the following:
1. Injury and Illness Prevention Program
2. Citizen complaint logging system
3. Americans with Disabilities Act Compliance Program
4. Safety/risk management committee
5. Records retention policy
6. Employee training programs
7. Environmental protection programs
8. Contracts administration
9. Evaluation of general liability claims for frequency and severity
10. Evaluation of workers’ compensation claims frequency and severity
As the Agency’s leadership embraces risk management through Agency-wide policies
and practices, each department and division will have their own areas of responsibilities
including:
1. Human Resources
Personnel manual
Employee handbook
Standard hiring practices
Safety manual
Discrimination and harassment training
Discrimination and harassment complaint processing
Use of volunteers
Violence in the work place policy
OSHA 300 log and summary
DMV pull notice
Transitional return to work policy
Current job descriptions and job analysis
City of Calexico
Risk Management Evaluation [20]
2. Public Works/Public Service
Supervisor Training
Safety training for field personnel based on job duties
Water treatment
Water distribution
Confined space
Trench spaces
Facilities maintenance
Fleet maintenance
Lockout/blockout program
Sidewalk inspection and maintenance program
Defensible space/vegetation management program
Proper driver licenses
Traffic control signage and inspection program
3. Facilities and Infrastructure
Asbestos and lead based paint survey
Asbestos and lead based awareness training
Facility inspection and maintenance program
Pavement management inspection and maintenance program
Parks and playground inspection and maintenance program
4. Recreation and Community Services
Waivers and application form program
Facilities use procedure and agreements
Proper indemnification and hold-harmless clauses in contracts
Day care programs
5. Animal Control
Employee training
Policies and procedures for handling of animals
6. Police Services
Policy manual in place and current
Use of force training
POST training requirements
Deadly force policy in place and current
Vehicle inspection program
Vehicle maintenance program
City of Calexico
Risk Management Evaluation [21]
7. Fire Services
Policy manual in place and current
Vehicle inspection program
Vehicle maintenance program
Hearing protection
Special operational programs and training
Hazardous material
Trench rescue
Swift water rescue
Confined space entry
Advanced Life Support
Managed risks are of great importance. The consequences of ignoring their importance
include lost employee time, increased operational costs and payment of claims.
Furthermore, an Agency’s fiduciary responsibility means that it owes a high standard of
care to protect public funds. More importantly, the obligation to safeguard workers, the
public, and assets should compel every organization to manage risk effectively.
An Agency Exemplar must manage risk exposures by:
1. Examining feasible alternative for addressing exposures
2. Selecting and implementing best risk management techniques
3. Monitoring results of the chosen techniques to ensure effectiveness, and
modify if necessary
An Agency Exemplar must also view risk management holistically by recognizing its
scope:
1. Casualty and/or hazard risk (accidents – including property, liability,
personnel)
2. Cash flow risks (insufficient cash or assets to function normally in the event of
a major loss)
3. Operational risk (not being able to fulfill the organization’s mission, exposing
the stakeholders)
4. Political risk (adverse action of governments that might expropriate or
excessively restrict or tax an organization’s assets and activities)
5. Technological risk (failure to keep pace with changes in operating techniques,
and security protection)
In conclusion, an Agency Exemplar begins and ends with the belief that an individual
who is charged with managing the organization overall, then creates a culture in which
all others similarly are committed to risk management.
It is the Authority’s desire to support each member in becoming an Agency Exemplar.
The Authority is committed to assisting each member in working toward this goal.
City of Calexico
Risk Management Evaluation [22]
Evaluation Checklist
Records and Contract Management
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Contract Management
1
Has the Agency developed an
effective system for tracking and
maintaining insurance
documentation?
2
Is a qualified person approving
contracts and agreements before
they are executed, and are they
approved to form using templates?
3
Do appropriate Agency staff
members have authority to sign
and/or modify contracts and
agreements?
4
Do Agency contracts contain
insurance specifications that are
established according to the relative
risk exposure of the agreement?
5
Does the Agency maintain formal
contracts and agreements with all
service providers?
6
Are contractors consistently
required to provide certificates of
insurance and policy endorsement?
7
Does the Agency require hold
harmless and indemnification
agreements from all services
providers?
8
Are Protected Contracts, as defined
in the Authority's Memorandum of
Coverage, properly reported in the
annual Underwriting Report?
9
Are Memoranda of Understanding
(MOU), Joint Use Agreements,
Automatic Aid Agreements, and
similar agreements in place and
properly adopted?
10
If Agency-owned facilities are
occupied by others, are appropriate
lease agreements utilized?
Yes
X
X
X
X
X
X
X
X
X
X
No
NA
Priority
Action Item
City of Calexico
Records Management
11
Are property schedules, vehicle
schedules, and other related
insurance documents updated as
needed?
12
Does the Agency have an up-todate Records Retention Policy that
addresses all types of records,
including electronic data and
media?
13
If the Agency accepts credit card or
debit card payments, does the
Agency and/or its service provider
comply with the Payment Card
Industry Data Security Standards?
14
Are all claims for tort liability logged
in a register, file, spreadsheet, or
some similar tracking system?
15
Are all liability claims reported?
16
Has the Agency considered
adopting a resolution formally
delegating liability claims handling
to the California JPIA?
Risk Management Evaluation [23]
Yes
X
No
X
X
X
X
X
NA
Priority
I–C
Action Item
09-06
City of Calexico
Risk Management Evaluation [24]
Occupational Safety & Health Compliance
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Occupational Safety & Health
Compliance
1
Does the Agency have a formal
Facility Inspection Program?
2
Does the Agency have a Centralized
Safety Manual?
3
Is training documentation available
for all hazard-specific safety
exposures?
Cal/OSHA-Required Programs &
Training
4
Is a Bloodborne Pathogens
Exposure Control Plan (CCR Title 8,
Section 5193) in place?
5
Is a Confined Space Entry Control
Plan (CCR Title 8, Sections 51565158) Plan in place?
6
In an Emergency Evacuation Plan
(CCR Title 8, Section 3220) in
place?
7
Is a Fire Prevention Plan (CCR Title
8, Section 3221) in place?
8
Is a Hazard Communication Plan
(CCR Title 8, Section 5194) in
place?
9
Is a Hazardous Waste Operations
and Emergency Response Plan
(HAZWOPER - CCR Title 8, Section
5192) in place?
10
Is a Hearing Conservation Plan
(CCR Title 8, Section 5097) in
place?
11
Is a Heat Illness Prevention Plan
(CCR Title 8, Section 3395) in
place?
12
Is an Injury and Illness Prevention
Plan (CCR 8, Section 3203) in
place?
13
Is a Lockout/Tagout Plan (CCR Title
8, Section 3314) in place?
Yes
No
NA
Priority
I–C
I–C
X
Action Item
05-18
05-40
X
X
Yes
No
NA
Priority
Action Item
X
I–C
09-08
X
I–C
09-08
X
I–C
09-08
X
I–C
09-08
X
X
X
X
X
X
City of Calexico
14
Has Powered Industrial Truck
(forklift) Operator Training been
conducted in accordance with CCR
Title 8, Section 3668?
15
Is a Repetitive Motion Injury
(Ergonomics) Control Plan (CCR
Title 8, Section 5110) in place?
16
Is a Respiratory Protection Plan
(CCR Title 8, Section 5144) in
place?
17
If the Agency has a Trenching/
Excavation exposure, is a
competent person available, and is
required training conducted in
accordance with CCR 8, Section
1541?
18
Does the Agency have a training
program to address hazards of
Traffic Control in Construction Zone
in accordance with CCR Title 8,
Sections 1598-1599?
19
Are Safety Committee activities
consistent with Agency policy?
Other Required Safety & Health
Programs
20
Is Asbestos/Lead Based Paint
Awareness Training in place?
21
Is a Pesticide Awareness/Applicator
Training Program (CCR Title 3,
Section 6724) in place?
22
Does the Agency have a written
program to address Automated
External Defibrillators (AEDs); and
are AEDs properly inspected and
maintained?
Risk Management Evaluation [25]
X
X
I–C
09-08
X
I–C
09-08
X
I–C
09-04
X
X
Yes
X
X
X
No
NA
Priority
Action Item
City of Calexico
Risk Management Evaluation [26]
Human Resources
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Personnel Policies, Training, and
Management
1
Has the Agency established a
Personnel Manual?
2
Are applicable personnel policies
periodically reviewed with
employees?
3
Does the Agency have a policy that
addresses substance abuse?
4
Does the Agency have a policy that
addresses violence in the
workplace?
5
Does the Agency have a policy that
addresses discrimination and
harassment?
6
Does the Agency have a policy that
adequately addresses vehicle usage
(both personal and Agency)?
7
Does the Agency evaluate the
driving record of prospective
employees?
8
Are employees required to operate
vehicles as an essential job function
enrolled in the Department of Motor
Vehicles Pull Notice Program?
Pre-Placement Practices and
Employee Monitoring
9
Has the Agency developed a list of
safety-sensitive positions for
purposes of screening for alcohol
and/or controlled substance abuse?
10
Do employees receive annual
performance evaluations?
11
Do performance evaluations include
compliance with safety practices
and procedures?
12
Are prospective employees
subjected to a background check?
Yes
No
NA
X
Priority
I-N
Action Item
2013-001
X
X
X
X
I–C
X
05-11
X
X
Yes
No
X
NA
Priority
I–C
Action Item
09-11
X
X
X
I-N
2013-002
City of Calexico
Volunteer Management
13
If volunteers are used, are they
accurately reported on the
California JPIA Underwriting Report?
14
Is there a Volunteer Manual?
15
Do volunteers receive training and
orientation to Agency policies and
programs?
16
Does the Agency evaluate the
driving records of volunteers?
17
Are volunteers subjected to
background checks?
18
Has the Agency passed a resolution
that extends workers’
compensations benefits to
volunteers who become injured?
Required Notices & Postings
19
Does the Agency document that a
pre-designated personal physician
form has been provided to
employees at the time of hire?
20
Does the Agency have a system in
place for notifying Cal/OSHA in the
event of a serious injury to an
employee?
21
Is the Certificate of Consent to Selfinsure for workers’ compensation
posted in a conspicuous place?
22
Are various required labor
notifications posted as required in
employee areas?
Workers’ Compensation Management
23
Are all injuries, including first aid
only, reported to the Third Party
Administrator (TPA)?
24
Are the Employer’s Report of Injury
(Form 5020) transmitted to the TPA
electronically and consistently
within five days of the injury?
25
Does the Agency have a
Transitional Return to Work Policy?
Risk Management Evaluation [27]
Yes
X
No
NA
Priority
Action Item
No
NA
Priority
Action Item
No
NA
Priority
Action Item
X
X
X
X
X
Yes
X
X
X
X
Yes
X
X
X
City of Calexico
Risk Management Evaluation [28]
Fleet and Driver Management
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Driver Management & Supervision
1
Have supervisors of commercial
vehicle drivers received the required
training with regard to
alcohol/controlled substances per
49 CFR, Section 382.603?
2
Have commercial vehicle drivers
received training in alcohol and
controlled substance abuse
awareness?
3
Are commercial drivers involved in a
random testing program to detect
the presence of alcohol and/or
controlled substances?
4
Does the Agency have a formal
procedure that is followed when an
employee is involved in an
automobile accident?
Vehicle Inspection & Maintenance
5
Are repairs and maintenance
performed by qualified Agency staff
and/or contractors?
6
Are vehicle maintenance records
available for each vehicle?
7
Are commercial vehicles formally
inspected and documented as
required?
Yes
X
No
NA
Priority
Action Item
No
NA
Priority
Action Item
X
X
X
Yes
X
X
X
I–C
09-14
City of Calexico
Risk Management Evaluation [29]
Infrastructure Management
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Disabled Accessibility
1
Has the Agency conducted a SelfEvaluation in accordance with the
Americans with Disabilities Act
(ADA) to determine what steps are
necessary to achieve barrier-free
access to Agency facilities,
programs, and services?
2
If an ADA Self-Evaluation has been
completed, does the Agency have a
working Transition Plan to address
the barriers identified in the SelfEvaluation?
3
Is the ADA Transition Plan regularly
reviewed and updated as
necessary?
4
Has the Agency adopted procedures
to ensure ADA issues are/have been
addressed in new and on-going
programs, services, and special
events?
5
Has the Agency developed and
adopted a Grievance Policy to
address handling complaints of
alleged violations under the
Americans with Disabilities Act
(ADA)?
6
Is there a person responsible for
handling ADA Grievances?
7
Does the Agency provide initial and
refresher training on ADA
Grievances and Transition Programs
in a public format?
8
Does the Agency’s website meet
accessibility requirements for the
disabled?
Yes
X
No
NA
Priority
Action Item
X
X
X
X
X
X
X
I–C
09-02
City of Calexico
Facility Management Programs
9
Are leased facilities for which the
Agency retains responsibility for
maintenance or management
regularly inspected and
documented?
10
Have facilities built prior to 1978
been surveyed for the presence of
asbestos-containing material (ACM)
and lead-based paint (LBP)?
11
If the presence of ACM and/or LBP
was confirmed, or if facilities have
not been formally and completely
surveyed, is there an Operations &
Management Program in place to
address ongoing hazards to
employees who may encounter
these materials?
12
Are brush fire hazard areas
consistently managed and
documented to control fire hazards
to adjacent structures?
13
Is there consistency in the
management of vegetation in open
space areas that abut residential
areas?
14
Does the Agency use gaseous
chlorine in its water and/or
wastewater operations?
15
Are chlorination rooms equipped
with a ventilation system?
16
Are Terms and Conditions and a
Privacy Policy posted on the
Agency’s website?
Sidewalks, Roadways, and Tree
Management
17
Has the Agency adopted a
municipal code to regulate private
property vegetation and other
objects that could present a visual
hazard?
18
Does the Agency have a Tree
Maintenance Program based on
sound arboricultural practices?
19
Do Agency-owned trees and
landscape appear in acceptable
condition?
Risk Management Evaluation [30]
Yes
X
No
NA
Priority
X
I–C
X
I–C
Action Item
05-19
X
X
X
X
X
Yes
No
NA
Priority
09-01
Action Item
X
X
X
I–C
09-22
City of Calexico
20
Does the Agency have formally
established sidewalk repair and
replacement standards that are
sound and defensible?
21
Are Agency-owned sidewalks
maintained in satisfactory condition,
and is the Agency performing
regular, documented inspections?
22
Are photographs taken of an area
prior to repair, and/or are other
measures taken to preserve
potential evidence in resulting
liability claims?
23
Are Agency-owned roadways
maintained in satisfactory condition,
and does the Agency perform
regular, documented inspections?
24
Are roadway markings and
infrastructure maintained in
satisfactory condition, and are there
regular, documented inspections?
25
Is there a program in place to
properly manage signaled
intersections during power outages?
26
Are ground-level storm grates
equipped with perpendicular cross
members and safe for bicycle
passage?
27
Are streets, roadways, roadways
markings, and right-of-way areas
maintained in satisfactory
condition?
28
Has discretionary authority been
granted to the person or body who
approves design plans such as
traffic control plans submitted with
encroachment permits?
29
Does the Agency have design plans
for all infrastructure?
30
Are Traffic Committee activities
documented, tracked, and
communicated to Agency staff?
Physical Facility Conditions
31
Do interior facility conditions appear
acceptable?
32
Do exterior facility conditions
appear acceptable?
Risk Management Evaluation [31]
X
X
I–C
I–C
X
I–C
05-16
09-16
X
X
09-17
X
X
X
X
X
X
Yes
No
X
X
NA
Priority
I-N
I-N
I-N
U-N
Action Item
2013-003
2013-004
2013-005
2013-006
City of Calexico
33
34
35
36
37
38
39
40
41
42
Are the observed housekeeping
conditions satisfactory and free of
obvious hazards?
Are compressors and/or other
pressure vessels properly permitted
and free of obvious hazards?
Are emergency action systems such
as fire sprinklers, fire extinguishers,
alarm systems, etc., maintained in
operable condition and free of
concerns?
Are safety showers and emergency
eyewash stations located where
required, and are they accessible
within ten seconds?
Are safety showers and emergency
eyewash stations regularly
inspected and tested?
Are mechanical and utility systems
free of obvious concerns?
Are elevators and lifts currently
permitted and properly maintained
in operable condition?
Are generators in operable
condition and regularly tested and
maintained?
Are flammable liquids and
compressed gases properly
managed and stored?
Is hazardous waste properly
handled, stored, and disposed of?
Risk Management Evaluation [32]
X
X
X
X
X
I-N
I-N
2013-007
2013-008
X
I-N
2013-009
X
X
X
X
City of Calexico
Risk Management Evaluation [33]
Parks and Playground Management
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Playground Management
1
Are there installation and
maintenance records available for
each playground?
2
Has all playground equipment been
audited by a Certified Playground
Safety Inspector?
3
Are Certified Playground Safety
Reports available for every
playground?
4
Are documented playground
inspections performed at sufficient
intervals pursuant to a written
policy?
5
Do Agency playgrounds meet
current playground safety
standards, and/or does the Agency
have a plan in place to address
noncompliant issues?
6
Does playground equipment appear
in acceptable condition?
7
Are the protective surfaces
underneath playground equipment
properly maintained?
Park Management
8
Are Agency parks and related
facilities regularly inspected and
documented?
9
Is the skateboard park properly
managed, inspected, and
maintained in good condition?
10
Are swimming pool facilities in
acceptable condition?
11
Do swimming pools comply with the
Virginia Graeme Baker Pool and Spa
Safety Act?
12
Are swimming pools accessible to
persons with disabilities?
Yes
X
No
NA
Priority
Action Item
I–C
I–C
05-30
09-19
X
I–C
I–C
05-30
09-19
X
I-N
2013-010
I–C
05-33
I-N
2013-011
X
X
X
X
Yes
No
X
NA
X
X
X
X
Priority
Action Item
I-N
2013-012
I–C
09-20
City of Calexico
Risk Management Evaluation [34]
Recreation and Community Services
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Risk Transfer
1
Are waivers collected from all
recreation program participants?
2
Do waivers contain appropriate risk
transfer language?
3
Are waivers retained for an
appropriate length of time?
4
Do contracts and agreements with
contract instructors contain
appropriate risk transfer language?
5
Are contractors required to provide
certificates of insurance and name
the Agency as an additional insured
in a policy endorsement?
6
Are contracts utilized with
companies providing transportation
for Agency excursions?
7
Do facility rental agreements
contain appropriate risk transfer
language?
8
Do special permits contain
appropriate risk transfer language?
9
Do facility rental agreements or
special permits require insurance
coverage?
Supervision and Training
10
Are effective policies and
procedures in place to ensure that
youth volunteers are not left alone
with minors unsupervised?
11
Are employees properly trained
and/or certified according to their
job duties?
Recreations - Other
12
Does the Agency appear to be
compliant with program
accessibility?
Yes
X
No
NA
Priority
Action Item
X
X
X
X
X
I–C
X
05-38
X
X
Yes
X
No
NA
Priority
Action Item
No
NA
Priority
Action Item
X
Yes
X
City of Calexico
Risk Management Evaluation [35]
Law Enforcement Services
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Policies & Procedures
1
Does the Agency have up-to-date
policies and procedures that
address each aspect of the
department’s operation?
Training & Documentation
2
Are training programs up-to-date?
3
Is training documentation
appropriately maintained?
4
Does the Agency subscribe to
Lexipol?
5
If a Lexipol member, does the
Agency receive the Daily Training
Bulletins?
Law Enforcement Facility-Related
Issues
6
Are holding cell facilities well
maintained?
7
Are housekeeping practices
acceptable and free of obvious
concerns?
Law Enforcement - Other
8
Are law enforcement exposures
otherwise free of recognized
concerns?
Yes
X
No
NA
Priority
Action Item
Yes
X
No
NA
Priority
Action Item
No
NA
Priority
Action Item
No
NA
Priority
Action Item
X
X
X
Yes
X
X
Yes
X
City of Calexico
Risk Management Evaluation [36]
Fire Department Operations
New or Concurrent
N – New
C – Concurrent
Action Urgency
U – Urgent
I – Important
A – Average
Policies & Procedures
1
Does the Agency have up-to-date
policies and procedures that
address each aspect of the
department’s operation?
Training & Documentation
2
Are training programs up-to-date?
3
Is training documentation
appropriately maintained?
4
Do employees possess the
appropriate type of training and
certification for their operations?
Fire Department Facility-Related
Issues
5
Are facilities free of housekeeping
concerns?
6
Are vehicle maintenance logs
maintained for each emergency
response apparatus?
7
Are engine service bays equipped
with adequate ventilation and/or
exhaust retrieval systems?
8
Is there a policy or procedure to
ensure that personal protective
equipment is properly maintained?
Fire Department - Other
9
Are fire department exposures
otherwise free of recognized
concerns?
Yes
No
NA
I–C
X
Yes
X
Priority
Action Item
09-22
No
NA
Priority
Action Item
No
NA
Priority
Action Item
No
NA
Priority
Action Item
X
X
Yes
X
X
X
X
Yes
X
Calexico
LossCAP Action Plan
Contact Name: Rosalind Guerrero
Risk Manager: Alex Mellor
RME Date: 4/24/2013
LossCAP Date: 7/29/2013
8/22/2013
Item
Type
Urgent Priority
13-02
New
13-09
New
13-10
New
13-11
New
Important Priority
05-18
Concurrent
05-38
Concurrent
13-01
New
13-03
New
13-04
New
13-05
New
13-06
New
13-07
New
13-08
New
13-12
New
Average Priority
05-05
Concurrent
05-11
Concurrent
05-16
Concurrent
05-16
Concurrent
05-19
Concurrent
05-23
Concurrent
05-30
Concurrent
05-33
Concurrent
05-37
Concurrent
05-40
Concurrent
09-01
Concurrent
09-02
Concurrent
09-04
Concurrent
09-06
Concurrent
09-07
Concurrent
09-08
Concurrent
09-08
Concurrent
09-08
Concurrent
09-08
Concurrent
Action Item
Assigned
Target Comp. Progress
Follow the member specific action item referenced in the risk management evaluation.
Properly identify and secure any hazardous waste accumulation point.
Install signs in the vicinity of playground equipment to indicate appropriate ages for use.
Focus maintenance on playground equipment.
Inspect facilities to identify hazardous conditions and practices.
Include insurance specifications and risk transfer language in contracts.
Update the personnel manual to reflect changes in personnel rules and regulations.
Improve housekeeping and provide safe passageway in aisles and storage areas.
Install plugs in openings where electrical switches have been removed.
Follow the member specific action item referenced in the risk management evaluation.
Follow the member specific action item referenced in the risk management evaluation.
Equip chemical storage areas with properly maintained eyewash stations.
Equip chemical storage areas with properly maintained eyewash stations.
Develop and implement a park facility inspection program.
Develop and implement a repetitive motion injury control program.
Develop and implement or revise the agency’s existing vehicle usage policy.
Inspect all bike lanes, paths, and routes for signage and pavement markings.
Develop and implement a sidewalk inspection and maintenance program.
Develop and implement an asbestos and lead-based paint awareness program.
Install earthquake safety straps on all hot water tanks.
Ensure that persons who inspect playground equipment do so according to CPSC guidelines.
Install signs in the vicinity of playground equipment to indicate appropriate ages for use.
Retrofit or replace bleachers that do not meet the current guidelines for bleachers.
Document inspections of library facilities to identify hazardous conditions.
Develop and implement website terms, conditions, and a privacy policy.
Website does not meet current accessibility standards.
Reassess role and purpose of safety committee.
Develop or revise the formal records retention policy.
Comply with payment card industry Data Security Standard (PCI DSS).
Develop and implement a hazardous waste operations and emergency response program.
Assess exposure to blood and infectious materials.
Develop and implement a hazard communication program.
Assess exposure to airborne health hazards.
Not
Not
Not
Not
Nick Fenely
Rosalind Guerrero
9/30/2010
9/30/2010
Nick Fenely
11/20/2012
Nick Fenely
11/20/2012
Nick Fenely
9/30/2010
Rosalind Guerrero
10/29/2010
Started
Started
Started
Started
Updated
6/4/2013
6/4/2013
6/4/2013
6/4/2013
In Progress
In Progress 7/25/2013
Not Started
6/4/2013
Not Started
6/4/2013
Not Started
6/4/2013
Not Started
6/4/2013
Not Started
6/4/2013
Not Started
6/4/2013
Not Started
6/4/2013
Not Started
6/4/2013
In Progress
Not Started
In Progress
In Progress
Not Started
Not Started
In Progress
Not Started
Not Started
In Progress
Not Started
Not Started
In Progress
Not Started
Not Started
Not Started
Not Started
Not Started
Not Started
10/18/2012
1/26/2011
10/18/2012
10/18/2012
10/18/2012
7/18/2013
7/18/2013
7/18/2013
7/18/2013
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Page 1 of 2
09-08
09-08
09-08
09-08
09-08
09-08
09-08
09-09
09-11
09-12
09-14
09-15
09-16
09-17
09-18
09-19
09-20
09-21
09-22
09-23
09-24
09-25
09-26
09-27
09-28
09-29
09-30
09-31
09-32
09-33
09-34
09-35
09-36
09-37
09-38
09-39
09-40
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Concurrent
Assess confined spaces exist at agency facilities.
Assess exposure to hazardous noise levels.
Develop a heat illness prevention program.
Develop and implement a written lockout/blockout program.
Develop and implement fire prevention plan.
Develop and implement emergency evacuation plan.
Develop trenching and excavation safety program.
Develop pesticide handler training (Title 3, Section 6724)
Implement controlled substance screening in pre-placement examinations.
Conduct annual employee performance evaluations, and include safety compliance.
Develop and implement a program to regularly inspect agency commercial vehicles.
Develop and implement a tree inspection and maintenance program.
Develop and implement a sidewalk inspection and maintenance program.
Inspect facilities to identify hazardous conditions and practices.
Develop and implement a street and traffic control devices inspection and maintenance program.
Ensure that persons who inspect playground equipment do so according to CPSC guidelines.
Enforce the agency's existing skate park ordinances.
Ensure that all swimming pools and spas are compliant with CPSC drain standards.
Update department policies and procedures.
Develop and implement a program to regularly inspect agency commercial vehicles.
Develop an implement a system of recordkeeping for vehicle maintenance and repair.
Include insurance specifications and risk transfer language in contracts.
Review contract specifications for proper insurance levels.
Include insurance specifications and risk transfer language in contracts.
Obtain a facility use agreement, including insurance and indemnification.
Include insurance specifications and risk transfer language in contracts.
Include insurance specifications and risk transfer language in contracts.
Review all contracts and lease agreements.
Inspect facilities to identify hazardous conditions and practices.
Inspect facilities to identify hazardous conditions and practices.
Inspect facilities to identify hazardous conditions and practices.
Focus playground maintenance on loose fill protective material.
Abate all non-compliant playground equipment.
Inspect facilities to identify hazardous conditions and practices.
Focus maintenance on playground equipment.
Inspect facilities to identify hazardous conditions and practices.
Inspect facilities to identify hazardous conditions and practices.
Nick
Nick
Nick
Nick
Fenely
Fenely
Fenely
Fenely
9/30/2010
9/30/2010
9/30/2010
9/30/2010
Nick Fenely
10/29/2010
Nick Fenely
Nick Fenely
Rosalind Guerrero
Rosalind Guerrero
Rosalind Guerrero
Rosalind Guerrero
Rosalind Guerrero
Rosalind Guerrero
Rosalind Guerrero
Nick Fenely
Nick Fenely
Nick Fenely
Nick Fenely
Nick Fenely
Nick Fenely
Nick Fenely
Nick Fenely
Nick Fenely
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
9/30/2010
Not Started
Not Started
Not Started
Not Started
Not Started
Not Started
In Progress
Not Started
Not Started
Not Started
In Progress
In Progress
In Progress
In Progress
Not Started
In Progress
Not Started
Not Started
Not Started
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
7/18/2013
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Page 2 of 2
Calexico
8/19/2013
Loss Run Date: 7/31/2013
Average Severity
Member
Pool
LP Overview
Coverage Period
Freq $0 Paid
Closed
2008-09
2009-10
2010-11
2011-12
2012-13
Totals:
Cause Comparison
Cause
Use of Force
Employment Practices
Threat of Contact/Contact
Pothole Damage
False Arrest
Civil Rights
Intersection Collision
Employment Discrimination
Slip/Trip
Vehicle Accident
Falling Objects
Errors And Omissions
Hit Another Vehicle
Equipment Use
Falling Object
Forced Entry
Employment Retaliation
Frequency Paid
Closed Open (Legal) Total (Legal)
11
8
12
11
3
8
11
8
2
6
1
1
1
2
10
45
35
15
Frequency Paid
Total (Legal) Pool %(1)
3
2
2
8
1
2
3
1
1
3
8
2
1
8
2
1
1
1
2
2
1
1
1
2
1
1
2
57
75
13
279
23
51
123
14
466
375
64
50
238
254
67
34
3
15%
Total Severity
Reserved
Total
1
1
1
2
1
9
12
9
4
16
4
3
3
2
1
$310,215.52
$208,824.33
$145,741.40
$50,077.39
$8,335.58
$95,272.50
$404,167.00
$71,573.63
$541,465.35
$237,017.01
$405,488.02
$612,991.33
$217,315.03
$591,542.74
$245,352.59
6
50
13
$723,194.22
$1,349,495.49
$2,072,689.71
Highest Severity Average Severity
Member(2)
Member
Pool
$437,750.00
$230,017.81
$107,150.15
$500,000.00
$50,067.20
$90,122.74
$34,771.72
$25,000.00
$6,427.77
$5,393.88
$1,500.00
33%
Paid
$204,250
$188,021
$76,075
$64,015
$56,630
$49,975
$35,979
$25,000
$16,355
$13,932
$5,106
$4,214
$3,550
$1,925
$1,250
$1,167
$60
$7
$162,483
$214,126
$47,565
$11,664
$39,575
$89,052
$58,110
$107,315
$33,425
$25,335
$13,997
$37,881
$12,320
$2,801
$4,129
$4,162
$122,069
(1) When Frequency is 10% or More of Pool Frequency; (2) When Frequency is Greater than 1
$45,054
$51,083
$24,146
$147,886
$15,335
$43,973
$27,168
$39,151
$34,165
$15,801
Normalized Claim Costs and Frequency per Payroll Comparisons
Payroll
Per $100 (3)
(4 Member
$11,884,257
$12,181,107
$12,038,260
$11,118,516
$10,045,373
$3.49
$3.23
$1.50
$1.38
$1.29
Pool Averages:
$2.59
LE F
LE F
LE F
LE
LE
0.8
1.3
0.5
0.5
0.9
Calexico
South Pasadena
Seaside
Port Hueneme
Seal Beach
2.4
(3) When Provided, LE and F Represent Law Enforcement and Fire; (4) Frequency per $1M Payroll
Cost Centers
Per $100 Payroll (5)
Activity
Freq. Total Severity Member Pool
Public Safety: Law Enforcement
20 $1,321,775.62
$8.00
$3.40
Public Works: General
17
$674,043.47
Public Works: Streets/Roads
2
$25,007.00
Admininstrative Services: Human Resources
1
$25,000.00
Public Safety: Fire
4
$14,085.52
$0.12
$0.95
Public Works: Maintenance
1
$6,000.00
Parks/Recreation: General
2
$3,000.00
Public Works: Water
2
$2,500.00
Admininstrative Services: Community Develo 1
$1,278.10
Calexico
8/19/2013
Loss Run Date: 7/31/2013
Average Severity
Member
Pool
WCP Overview
Coverage Period
Freq $0 Paid
Closed
2008-09
2009-10
2010-11
2011-12
2012-13
Totals:
Frequency Paid
Reporting Lag
Closed Open (Legal) Total (Legal) (Indem)
Days
2
3
1
1
1
47
46
27
37
15
6
9
15
20
21
3
4
9
11
2
53
55
42
57
36
5
5
11
11
2
16
15
25
22
14
8
172
71
29 243
34
92
Cause Comparison
Cause
Frequency Paid
Total (Legal) (Indem) Pool %(1)
Circulatory
Cardiovascular
Multiple Physical/Psychological
Carpal Tunnel Syndrome/Ulcer
Laceration
Fracture
Strain
Cancer
Multiple Injury
Mental Disorder
Mental Stress
Respiratory
Other Specific Injuries
Multiple Physical Injuries
Contusion
Traumatic Hearing Loss
Inflammation
Synovitis/Tendonitis
Other Cumulative Injuries
No Physical Injury
Concussion
Puncture
Crushing
Burn
Dermatitis
Foreign Body
Hepatitis C
Contagious Disease
Bite/Sting
Chemical Poisoning
1
9
1
2
7
9
111
1
1
1
3
1
10
4
26
1
3
3
4
15
2
12
2
1
5
1
1
3
2
1
1
4
1
2
1
17
1
4
1
1
3
8
56
1
1
1
2
2
1
1
3
1
8
1
1
1
1
1
6
53
38
23
481
144
2,635
24
6
41
42
63
176
98
647
9
114
36
103
162
14
274
58
30
127
144
6
56
81
7
17%
17%
$199,437.34
17%
$19,000.00
$42,985.63
$23,268.04
$30,975.68
11%
$7,692.88
$3,561.16
$9,224.00
$18,301.90
$2,159.08
$3,274.64
$1,382.37
$1,700.00
17%
$275.03
$281.64
14%
$79,395
$46,836
$34,692
$28,400
$24,079
$21,235
$20,814
$19,539
$17,742
$9,481
$8,601
$7,648
$7,167
$6,509
$5,839
$4,555
$2,760
$2,574
$2,523
$2,277
$1,637
$867
$843
$636
$519
$333
$315
$275
$269
$169
Total
$499,469.03
$378,751.63
$621,291.49
$504,007.87
$224,627.52
$185,098.85
$190,257.38
$432,245.35
$500,917.25
$141,057.59
$684,567.88
$569,009.01
$1,053,536.84
$1,004,925.12
$365,685.11
$2,228,147.54
$1,449,576.42
$3,677,723.96
Highest Severity Average Severity
Member
Pool
Member(2)
$53,880.95
$82,795.27
$54,560.29
$219,686.38
14%
11.4
7.8
14.8
4.5
6.2
Total Severity
Reserved
Paid
$21,632
$62,212
$58,944
$38,882
$2,779
$40,495
$18,529
$69,561
$13,375
$21,385
$38,460
$2,594
$10,077
$24,624
$6,157
$7,314
$3,867
$6,237
$46,425
$7,773
$1,812
$1,406
$6,179
$774
$800
$1,702
$1,477
$481
$1,046
$762
(1) When Frequency is 10% or More of Pool Frequency; (2) When Frequency is Greater than 1
$12,916
$10,346
$25,084
$17,630
$10,158
$13,605
$16,820
$14,832
$15,626
$11,412
Normalized Claim Costs and Injury/Illness Incidence Comparisons
Payroll
Per $100
(3)
(4) Member
$11,884,257
$11,118,516
$12,038,260
$12,181,107
$10,045,373
$6.19
$2.77
$2.58
$2.04
$1.26
Pool Averages:
$2.37
LE F
LE
LE F
LE F
LE
29.4
20.4
14.5
11.0
9.9
Calexico
Port Hueneme
Seaside
South Pasadena
Seal Beach
12.4
(3) When Provided, LE and F Represent Law Enforcement and Fire; (4) Injury Rate per 100 FTE
Cost Centers
Activity
Public Safety: Law Enforcement
Public Works: Utilities
Public Works: General
Public Safety: Fire
Public Works: Trees/Landscape
Administrative Services: General
Parks/Recreation: General
Other: General
Transportation: General
Public Safety: Animal Control
Per $100 Payroll (5)
Freq. Total Severity Member
Pool
127 $1,999,535.17 $12.10
$4.93
24
$482,716.29
24
$388,183.65
36
$241,463.87
$2.08
$3.79
4
$230,973.72
13
$134,851.17
7
$112,056.36
5
$54,690.72
1
$31,624.76
2
$1,628.25
(5) For Law Enforcment and Fire Only
City of Calexico Performance Improvement Agreement
THIS AGREEMENT (Agreement) is made and effective as of ________________, 2013,
between the California Joint Powers Insurance Authority (“Authority”), and the City of Calexico
(“City”). Pursuant to the California Joint Powers Insurance Authority - Joint Powers Agreement,
the Executive Committee of the Authority has determined it necessary to enter into a
Performance Improvement Plan to ensure the City’s governance is consistent with the
Authority’s mission and goals as it relates to risk management standards and best practices.
General Provisions
1. No later than __________, the Authority will determine whether the City has complied
with all performance standards of the Improvement Plan that is embodied in this Agreement. If
the Authority determines that the City has complied with the Agreement, the City and the
Authority will enter into and dissolve the Agreement. If the Authority determines that the City
has not complied and the City disagrees with that determination, the City may request an appeal
hearing before the Executive Committee. If the City does not appeal to dissolve the Agreement,
or the appeal is denied, the Executive Committee may recommend endorsements limiting certain
coverages or move to have the City removed from the liability program.
2. The Authority and the City may jointly stipulate to make changes, modifications, and
amendments to the performance plan, which shall be effective at the adoption by Resolution by
the City Council of Calexico and Executive Committee.
3. The City will take all action necessary to ensure that it appoints personnel on the basis
of merit, who have the education and experience necessary to effectively lead and manage in the
appointed positions. The City will establish strict accountability by defining expectations and
performance standards for such positions.
1 4. The Agreement is binding upon the parties hereto by and through their officials,
agents, employees, and successors and is enforceable only by the parties. No person or entity is
intended to be a third – party beneficiary of any civil, criminal, or administrative action and,
accordingly, no person or entity may assert any claim or right as a beneficiary or protected class
under this Agreement.
5. All plans, policies, procedures, or action(s) that are required to be developed and
implemented by the Agreement will be developed by the City and then submitted to the
Authority for review and approval. Each such plan, policy, procedure or action(s) will be
submitted within the date specified within the Performance Improvement Plan. All plans,
policies, procedures or action(s) that are required to be developed and implemented by this
Agreement are subject to the requirements and procedures set forth in this paragraph.
Definitions
6. The term “Adverse Action” is defined as: discharge, demotion or transfer accompanied
by one or more of the following: decreased wages or salary; a less distinguished job title; a
material loss of benefits; significantly diminished material job responsibilities; loss of seniority;
other criteria that are unique to the particular situation.
7. The term “Authority” means the California Joint Powers Insurance Authority.
8. The term “City” means the City acting though the Calexico City Council.
9. The term “Day” is defined as a normal business day, Monday through Friday in which
the City offices are open to receive normal public business.
10. The term “Effective Date” means the day on which the Calexico City Council adopts
the Improvement Agreement by Resolution.
2 11. The term “Executive Committee” means the Executive Committee of the Board of
Directors of the Authority.
12. The term “Joint Powers Agreement” means the agreement the member entered into to
become a member of the Authority.
Performance Improvement Plan
13. The City will meet with Authority staff no later than 30 days after adoption of the
Performance Improvement Plan by the City Council to establish timelines for completion of the
City’s LossCAP Action Plan. Dates of completion for all items shall not be beyond the term of
the Performance Improvement Plan.
14. The City will meet quarterly with Authority staff in order to review the status and
progress of the Performance Improvement Plan. Quarterly dates to be established after adoption
of the Performance Improvement Plan by the City Council.
15. The City will notify the Authority of any internal investigation and the reason for
such an investigation of all employees, including Police Officers of the City. All investigations
must be completed in a timely fashion. The City is required to provide quarterly updates on all
internal investigations until said investigations are completed. The results of the internal
investigations will be submitted to the Authority for review, including any recommended
corrective action as a result of the investigation, including any proposed adverse personnel action
(discipline) before it is administered.
16. The City’s Police Chief to complete an internal review of Police Department policies
and procedures and develop a plan of action to address any identified deficiencies. The plan of
action will be submitted to the Authority for review and approval. The internal review shall be
completed no later than October 31, 2013.
3 17. The City will engage in a timely and good faith interactive process with all employees
who have disabilities covered under ADA and FEHA. The City will notify the Authority
immediately of City Council interference in this, or any other personnel matter.
18. All Councilmembers are required to complete specific training on council relations
and cooperation as identified and provided by the Authority no later than 60 days after adoption
of the Performance Improvement Plan.
19. All Councilmembers are required to complete specific training on preventing
discrimination and harassment as identified by the Authority no later than 60 days after adoption
of the Performance Improvement Plan.
21. Upon compliance with any provision of this Agreement the City may request in
writing that the Authority confirm the City has so complied. If the Authority agrees that the City
has complied, the Authority shall confirm that determination in writing to the City.
22. Neither the City nor the Authority will be deemed to be in violation of the Agreement
by reason of the failure to perform any of its obligations hereunder to the extent that such failure
is due to unforeseen circumstances, including strikes, acts of God, acts of court of competent
jurisdiction, weather conditions, riots, civil disobedience, fire, insurrection, war, or any similar
circumstances for which neither the City not the Authority is responsible and which within
neither the City nor the Authority control.
23. The person executing this Agreement on behalf of the City warrants and represents
that he/she has the authority to execute this Agreement on behalf of the City and has the
Authority to bind the City to the performance of its obligation hereunder.
4 Authority:
City of Calexico:
________________________________
Jonathan Shull, Chief Executive Officer
California JPIA
____________________________
Oscar Rodriguez, City Manager
City of Calexico
5 City of Calexico
Performance Improvement Plan Matrix
No. Due
Date
1
2
3
4
Responsible Area
Performance Standard
Person
City Manager Risk
Meet with Authority staff no later than 30
Management days after the adoption of the
Performance Improvement Plan to
establish timelines for completion of the
City’s LossCAP Action Plan. Dates of
completion for all items shall not be
beyond the term of the Performance
Improvement Plan.
City Manager Risk
Meet quarterly with Authority staff in order
Management to review the status and progress of the
City’s Performance Improvement Plan.
Quarterly dates to be established after
the adoption of the Performance
Improvement Plan by the City Council.
City Manager Human
Notify the Authority of any internal
Resources
investigation and the reason for such an
investigation of all employees, including
Police Officers of the City. All
investigations must be completed in a
timely fashion. The City is required to
provide quarterly updates on all internal
investigations until said investigations are
completed. The results of the internal
investigations will be submitted to the
Authority for review, including any
recommended corrective action as a
result of the internal investigation,
including any proposed adverse
personnel action (discipline) before it is
administered.
10/31/2013 Police Chief
Risk
Complete an internal review of Police
Management Department policies and procedures and
develop a plan of action to address any
California JPIA - Calexico
Status
Page 1
City of Calexico
Performance Improvement Plan Matrix
5
6
7
Ongoing
identified deficiencies. The plan of action
will be submitted to the Authority for
review and approval.
City Manager Human
Engage in a timely and good faith
Resources
interactive process with all employees
who have disabilities covered under ADA
and FEHA. Notify the Authority
immediately of City Council interference
in this, or any other personnel matter.
City Council
Risk
All Councilmembers are required to
Management complete specific training on council
relations and cooperation as identified
and provided by the Authority no later
than 60 days after adoption of the
Performance Improvement Plan.
City Council
Risk
All Councilmembers are required to
Management complete specific training on preventing
discrimination and harassment as
identified and provided by the Authority
no later than 60 days after adoption of the
Performance Improvement Plan.
The City is required to notify the Authority via the City Attorney of any personnel changes involving the City Manager or
Police Chief during the term of the Performance Improvement Plan.
California JPIA - Calexico
Page 2
Healthy Members Protocol
Healthy Members
The California JPIA has a responsibility to its pool members to help guard against member
actions that can result in adverse claims. Members have the same responsibility to each other
and, through the policy setting of the Executive Committee, have entrusted Authority staff to
follow specific related procedures.
This paper discusses these procedures, including the Authority’s prospective-member
underwriting efforts, describing protocols followed to ensure that existing members are held to
the same standards of governance and risk management.
Note:
This white paper should not be construed as legal advice. Accordingly, any resulting policy, program or procedure
that results from this white paper should always be reviewed and approved as is customary by your agency,
including the purview of any necessary legal and/or governing body authorities to ensure the policy being developed
meets the unique needs of your jurisdiction. Policies should be implemented after proper training has been provided.
This reference material is to be considered proprietary and confidential and may not be disclosed to any person
without the express, prior permission of the California JPIA. This reference material is for Authority member use only
and does not apply in any criminal or civil proceeding. This reference material should not be construed as a
creation of a higher legal standard of safety or care in an evidentiary sense with respect to third party claims.
© 2013 California Joint Powers Insurance Authority
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TABLE OF CONTENTS
EXECUTIVE SUMMARY ................................................................................................ 2
PROSPECTIVE MEMBERS ............................................................................................. 2
EXISTING MEMBERS ................................................................................................... 3
HEALTHY MEMBER PROTOCOL.................................................................................... 4
CONCLUSION .............................................................................................................. 6
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EXECUTIVE SUMMARY
By its very definition, a risk-sharing pool means that all members of the pool are
apportioned the total cost of risk. Each member of the pool is impacted by the actions
of other members, either positively or negatively. In this context, these actions provide
general insight into members themselves, including their quality of operations,
professional management, risk management importance, and the governing body itself.
The Authority has long recognized the need to carefully evaluate prospective members
by assessing the agency’s potential risk performance in the future. If that risk
performance is a net cost to existing members, the Authority is able to decline the
prospective member’s application for membership.
If prospective members are expected to meet certain risk performance standards before
membership is granted, it is reasonable to require existing members to adhere to the
same risk performance standards. Since the pool’s beginnings, there have been times in
which members have experienced significant claims. Others have adopted programs or
approved ordinances that reflect poor public policy.
These patters repeat themselves over time, so it’s appropriate for the Authority to
actively intervene in the member’s risk management efforts, or even require the
member to address serious operational issues. In both instances, a balanced approach
to evaluating a member must be built around fundamental areas of concern that, in
total, rise to the level where the Authority is justified in taking action on behalf of all
other members.
PROSPECTIVE MEMBERS
In satisfaction surveys conducted by the Authority, members have indicated that they
are amenable to the concept of pool growth. A willingness to grow, however, is
predicated on the fact that it must take place in a controlled fashion, in a manner that
protects existing members from high exposure or increased claims, and only be pursued
if there are greater pooling advantages.
Accordingly, maintaining healthy members begins during the prospective member
process. Generally, agencies are thought desirable if risk exposures are similar in
operations to existing members. Beyond that, what is learned during the prospective
member process tells much about current or planned operations of a prospective
member, but also helps the Authority understand potential risks to the pool.
Key steps in the prospective-member underwriting process are as follows:
1.
Agency claim analysis for the last five years
2.
Agency management interview
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3. Agency site visit and field evaluation, including:
a) Employee manual/handbook, including policies related to employment
practices, discrimination, harassment, and workplace violence
b) Occupational safety and health policies and programs
c) Roadways and streets, including inspection records, if applicable
d) Facilities, including inspection reports
e) Injury and illness prevention program
f) Contract instructor agreements, if applicable
g) Playground inspection records, if applicable
h) Contracts management practices
i) Recreational waiver forms, if applicable
j) Records retention
k) Training records
4. Financial pro forma
5. Governance review
6. Reputation review
Upon conclusion of this work, the Authority prepares a report to summarize the
analysis. If staff recommends consideration of membership, the report is presented to
the Authority’s Underwriting Committee. The report may include conditions of
membership, if significant items are identified that must be addressed before granting
coverage. If the committee recommends membership approval, the application for
membership is forwarded to the California JPIA’s at-large Board of Directors for
comment. Any comments are then forwarded to the Authority’s Executive Committee,
which then votes on the recommendation.
EXISTING MEMBERS
As early as 2005, staff began looking into ways of working more closely with members
in in order to support risk management and good governance. In fact, early efforts led
to the creation of the California JPIA’s LossCAP program; the purpose of which is to
integrate the delivery of various Authority programs and services in a manner that
reduces frequency and severity of member losses.
In 2008, the Executive Committee heard recommendations on how to transform these
practices into a formal policy. Remedies for members in distress included limiting or
cancelling coverage, or terminating membership altogether. Based upon these
recommendations, the Executive Committee supported changes to the Joint Powers
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Agreement. Articles 26 and 27 were both added in order to recognize the importance of
good governance; first, by providing a framework for helping members who are facing
cancellation of participation in joint protection programs; and, second, by providing a
last resort option where a three-fourths vote of the entire membership will cancel
membership altogether.
HEALTHY MEMBER PROTOCOL
Poor governance does represent a very real risk to other members, and is something
that cannot be left to work itself out. As such, the Authority has worked to position
itself in order to intervene in a member’s operations effectively and at the appropriate
point in time. To do so, staff relies on information and analysis coming from three
primary activities. First, the Authority’s risk managers each manage a portfolio of
members participating in the LossCAP program. This puts them on the front lines of
contact with member staff, and affords them access and insight into how the member is
doing; second, the Authority routinely monitors the news wires for stories and events
concerning the membership; and third, the Authority has developed a database that
provides robust analytics of member performance.
In 2010, the Executive Committee approved the below practices and procedures that
have come to be known as the California JPIA Healthy Member Protocol. At the root of
such efforts is the Authority’s stated goal of helping restore members to good
governance and sound operation. The policy and process is as follows:
1. Regardless of their origin, concerns regarding member governance or activity
will generally be measured against one or more of the six following criteria:
•
Increases in member claim frequency or severity;
•
Frequency and severity of claims involving libel/slander, civil rights,
employment, or class action;
•
Allegations or reports of bribery, conflicts of interest, unfairness, dishonesty,
or fraud;
•
Actions that negatively affect employee morale and performance, including
allegations or reports of harassment or discrimination, or nepotism;
•
Adverse public policy, including actions or inactions that create legal liability;
and
•
Inability to pay owed contributions or other cost allocation fees.
2. Upon authorization of the Chief Executive Officer, staff will arrange a meeting
with the member of concern, explaining the process to the member and
collecting additional relevant information needed for the development of a
performance improvement plan.
3. After meeting with the member, a report will be prepared for Executive
Committee consideration that will include identified concerns and a proposed
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member performance improvement plan. The proposed plan will include a list of action
items, the due date for completing the action item, indicate who is responsible for
completing the action item, and define what constitutes completion.
4. The Chief Executive Officer may also recommend excluding coverage,
copayments, or deductibles for activities or conditions of the member that are deemed
to be a risk to the pool. Such exclusions, copayments, or deductibles may be
imposed immediately upon adoption, or as a consequence of failing to adhere to an
approved performance improvement plan. The member's manager or chief executive
will be given an opportunity to present a written or oral response to the Executive
Committee.
5. Upon the Executive Committee's approval of any performance improvement plan,
the member must formally agree to the performance improvement plan by adopting a
resolution by action of its governing body.
6. Approval of any member performance improvement plan will authorize the
Authority's Chief Executive Officer to administer the plan.
7. The member will have appropriate time, as determined by the Chief Executive Officer,
to improve governance through the completion of action items established in the
plan. In no instance should the time period provided exceed two years, unless
determined otherwise by the Chief Executive Officer. If concerns arise over egregious
actions or solvency of the member, this timeline may be modified accordingly.
8. Periodic meetings between Authority staff and the member will be maintained to address
challenges and progress.
9. Subsequent modifications to the performance improvement plan must be
approved by the Authority's Chief Executive Officer.
10. The Chief Executive Officer will provide progress reports to the Executive
Committee on a quarterly basis, and more frequently when action or inaction of the
member warrants such report. The Chief Executive Officer will report upon conclusion
of the established period in which a member was placed on a performance
improvement plan.
11. For any member that completed the action items specified in the performance
improvement plan, a recommendation will be made to formally dissolve the
performance improvement plan and restore the member to good standing.
12. For any member that was unsuccessful in completing the performance
improvement plan, or at any time during the plan period when it is determined that
the member has defaulted on one or more of the plan elements or poses an
emerging and adverse risk to the pool, the Chief
Executive Officer may recommend to the Executive Committee any of the
following:
a) Imposition of specific copayments or deductibles
b) Coverage exclusions for specific activities or conditions
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c) Elimination from participation in a joint protection program
d) Cancellation of the performance improvement plan
e) Initiation of cancellation procedures from the membership in the Authority
13. If Executive Committee approval is given to initiate any of the actions under
Item 12, staff will issue to the member’s chief executive a Notice of Intent, and
will endeavor to provide as much notice as possible, not less than 30 days prior
to the intended action.
14. At its own request, made within 14 days of the Notice of Intent being issued,
the member will be given an opportunity to formally appeal the intended action
at a meeting of the Executive Committee.
15. The Executive Committee will hear any appeal from the member, and then take
action to either enforce the Notice of Intent, or provide additional direction to
the Chief Executive Officer.
16. If action is taken to either eliminate the member from participation in a joint
protection program or initiate membership cancelation, the Executive Committee
will also hear a staff recommendation on any refund due to the member if the
termination date is prior to the end of the coverage period.
17. If action is taken to initiate membership cancellation, the Chief Executive Officer
will distribute written ballots to the at-large Board of Directors, with threefourths voting in favor required to approve the action.
18. Upon receipt the required vote, the Chief Executive Officer will issue notice of
cancellation to the member.
CONCLUSION
The California JPIA has a responsibility to its pool members to help guard against
member actions that can result in adverse claims. Members have the same
responsibility to each other and, through the policy setting of the Executive Committee,
have entrusted Authority staff to follow certain procedures. These begin with a
stringent and careful prospective member process, and continues through monitoring
existing members; carrying the same standards for what constitutes sound operations,
management attitudes and beliefs, risk management profile, and actions of the
governing body.
The Authority and its members are well-served by this, which has proven its
effectiveness in making sure that the Authority does all it can to support healthy pool
members before decisions are made regarding coverage and membership.
© 2013 California Joint Powers Insurance Authority
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