Risk Assessment Matrix. Compliance Section: Department of Public Safety Responsible Person: David Sarkozi. (Before Controls) Potential Impact

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1 Compliance Section: Department of Public Safety Responsible Person: David Sarkozi 2/11/10 Police Comm. Division Brad Wigtil H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) TCIC/NCIC FBI Operating Guidelines All UHDPS employees who have access to TCIC/NCIC system files are required to have basic training on the system. TCIC/NCIC Terminal must be in secure area. Criminal history and other documents must be on file. (Before ) Complete for HH, HM, MH Before L L Scheduled at employment by Training Bi-annual TCIC audit checks Coordinator and Terminal Agency compliance. Coordinator. L L Terminal is in secure location in Bi-annual TCIC audit checks Dispatch Center. compliance. L L Systems Manager compiles and audits. Bi-annual TCIC audit checks compliance. Page 1 of 1

2 Compliance Section: Department of Public Safety Responsible Person: AC Randall Records Division Brad Wigtil H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) Texas Administrative Code, Title 13, Chapter 6 - Records Retention Texas Government Code Chapter 552 (Open Records) Requires release of specific information to general public if asked. Texas Code of Criminal Procedure Chapter 18 Handling lost and found property; Disposition of gambling paraphernalia; Disposition of explosive weapons; and Disposition of seized weapons. Texas Code of Criminal Procedure Chapter 47 Disposition of stolen property. (Before ) Complete for HH, HM, MH Before L L A retention schedule is in place. Division Commander oversees destruction. L L Requests are given to Records Division Commander upon receipt. Information is compiled and reviewed by Command Staff and/or General Counsel Staff prior to release. M H Office Assistant 1 (OA1) handles Division Commander reviews and dispositions per the Code of Criminal approves all Disposition of Property. Procedure. H H OA1 handles dispositions per the Code Division Commander reviews and of Criminal Procedure and Court Orders. approves all Disposition of Property. Page 1 of 1

3 Compliance Section: Department of Public Safety Responsible Person: Bob Bowden Fire Marshall's Office Bob Bowden H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) (Before ) Complete for HH, HM, MH Before Compliance with National Fire Protection Association Standard 25 Inspection, Testing and Maintenance of Water-Based Fire Protection I. Inspections A. Inspections of Fire Sprinkler Systems 1. Weekly/Monthly/Quarterly H M Inspections are done by Plant FMO to conduct spot checks of H X Operations, RLH, UC, Athletics and documentation. Hotel maintenance personnel. should be the responsibility of the 2. Annually H M Contract with Fire Protection Company UHDPS Fire Marshal's Office for annual inspections. coordinates annual contract B. Inspections of Standpipe and Hose Systems 1. Weekly/Monthly/Quarterly NOTE: fire hoses are being removed in buildings with sprinkler systems as HFD will not use fire hoses they have not inspected. Process has been approved by the State Fire Marshal. H M Inspections are done by Plant FMO to conduct spot checks of H X Operations, RLH, UC, Athletics and documentation. Hotel maintenance personnel. should be the responsibility of the 2. Annually H M FMO Fire Safety Technician inspects all Inspection tags are placed in hose hose cabinets at least annually. cabinets and documented. C. Annual Inspections of Private Fire Service Main H M Inspections are done by Plant FMO to conduct spot checks of H X Operations, RLH, UC, Athletics and documentation. Hotel maintenance personnel. should be the responsibility of the Page 1 of 5

4 Compliance Section: Department of Public Safety Responsible Person: Bob Bowden Fire Marshall's Office Bob Bowden H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) (Before ) Complete for HH, HM, MH Before D. Weekly Inspections of Fire Pumps H M Plant Operations inspects and FMO to conduct spot checks of M X documents weekly. Periodic inspections documentation. by other maintenance groups (Hotel and should be the responsibility of the RLH). E. Inspections of Water Storage Tanks 1. Weekly/Monthly/Quarterly H M Periodic inspections are conducted by FMO to conduct spot checks of M X maintenance groups. documentation. should be the responsibility of the 2. Annually H M Contract with Fire Protection Company UHDPS Fire Marshal's Office for annual inspections. coordinates annual contract 3. Five Years H M Contract with Fire Protection Company UHDPS Fire Marshal's Office will for annual inspections. coordinate contract Compliance with National Fire Protection Association Standard 25 Inspection, Testing and Maintenance of Water-Based Fire Protection II. Testing A. Testing of Sprinkler Systems 1. Quarterly H M Plant Operations, Athletics, CWRC, FMO to conduct spot checks of H X Hotel, Athletics and RLH conduct documentation. testing. No documentation has been should be the responsibility of the received by the FMO. 2. Annual H M Contract with Fire Protection Company UHDPS Fire Marshal's Office for annual inspections. coordinates annual contract Page 2 of 5

5 Compliance Section: Department of Public Safety Responsible Person: Bob Bowden Fire Marshall's Office Bob Bowden H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) 2. Annual (Before ) Complete for HH, HM, MH Before 3. Five Years H M Will be added as addendum to the UHDPS Fire Marshal's Office will M X annual contract in the fifth year. coordinate contract B. Testing of Standpipe and Hose Systems 1. Quarterly H M Plant Operations, Athletics, CWRC, FMO to conduct spot checks of H X Hotel, Athletics and RLH conduct documentation. testing. No documentation has been should be the responsibility of the received by the FMO. H M Plant Operations, Athletics, CWRC, FMO to conduct spot checks of H X Hotel, Athletics and RLH conduct documentation. testing. No documentation has been should be the responsibility of the received by the FMO. 3. Five Years H M Will be added as addendum to the UHDPS Fire Marshal's Office will H X annual contract in the fifth year. coordinate contract C. Annual Testing of Private Fire Service Main H M Plant Operations, Athletics, CWRC, FMO to conduct spot checks of H X Hotel, Athletics and RLH conduct documentation. testing. No documentation has been should be the responsibility of the received by the FMO. D. Testing of Fire Pumps 1. Weekly 2. Annual H M Plant Operations inspects and FMO to conduct spot checks of M X documents weekly. Periodic inspections documentation. by other maintenance groups (Athletics and UC). H M Contract with Fire Protection Company for annual inspections. UHDPS Fire Marshal's Office coordinates annual contract Page 3 of 5

6 Compliance Section: Department of Public Safety Responsible Person: Bob Bowden Fire Marshall's Office Bob Bowden H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) E. Testing of Water Storage Tank 1. Semi-Annual 2. Five Years Compliance with National Fire Protection Association Standard 25 (Before ) Complete for HH, HM, MH Before Testing conducted per established program Documented Preventative Maintenance Program H M Testing conducted per established Documented Preventative program Maintenance Program H M Testing conducted per established Documented Preventative program Maintenance Program L X III. Maintenance A. Maintenance of Sprinkler Systems 1. Annually H M Maintenance done on an as needed Plant Operations Preventative M X basis in buildings maintained by Plant Maintenance Program Schedule Operations. No information on ensures visual checks occur. maintenance performed by other maintenance groups. 2. Five Years H M Will be added as addendum to the UHDPS Fire Marshal's Office will H X annual contract in the fifth year. coordinate contract B. Annual Maintenance of Standpipe and Hose Systems H M Partial maintenance is conducted FMO documents annual M X annually by the FMO. maintenance performed. C. Annual Maintenance of Private Fire Service Main H M Maintenance to be done by the various maintenance shops. Documentation has not been received by the FMO. H X D. Annual Maintenance of Fire Pump H M Preventative Maintenance Schedule for buildings maintained by Plant Operations. Documentation from the Hotel and Dorms has not been reviewed. Preventative Maintenance documentation not provided to the FMO. M X E. Maintenance of Water Storage Tank Page 4 of 5

7 Compliance Section: Department of Public Safety Responsible Person: Bob Bowden Fire Marshall's Office Bob Bowden H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) 1. Semi-annual (Before ) Complete for HH, HM, MH Before H M Maintenance performed as needed by Preventative Maintenance M X the various maintenance shops. documentation not provided to the FMO. 2. Annual H M Maintenance performed as needed by Preventative Maintenance M the various maintenance shops. documentation not provided to the FMO. X Page 5 of 5

8 Compliance Section: Department of Public Safety Responsible Person: Patrick Lollie/Richard Storemski Police Field Operations Brad Wigtil H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) (Before ) Complete for HH, HM, MH Before TX Administration Code, Title 37, Part 9, Chapter 269, Subchapter D. Required reporting of Juveniles in lockup. 1. Jail Log for Juveniles A. Entry made whenever juvenile is taken into custody. M M Officers fill out Juvenile Jail Log Patrol Supervisor checks Juvenile whenever a juvenile is taken into custody. Jail Log prior to juvenile being released. B. Yearly submittal of Jail Log to Texas Commission on Jail Standards. M L Senior Patrol Sergeant verifies information on log is complete and Patrol Division Commander reviews log before submission to accurate. Commission. TX Administration Code, Title 37, Part 9 Chapter 271. Separation of juveniles by sight and sound from adults. M L Police Officers receive training on Patrol Supervisor insures Juveniles Juvenile Law. are transported and kept separate from adults. TX Code of Criminal Procedure, Article 59.06(g) Requires reporting of seized and forfeited property. TX Code of Criminal Procedure, Chapter 5 Family Violence Prevention Provide required notice to victims of family violence. TX Code of Criminal Procedure, Chapter 56 Rights of Crime Victims Provide required notice and liaison with the Texas Attorney General's Office. M L Arresting Officer completes court Patrol Division Commander documents regarding property to be completes annual State Log on all seized or forfeited. property seized or forfeited. M L Assigned officer provides victim with UHDPS Crime Victim Liaison "Crime Victim Card" that contains follows up with victim. required notice. M L Assigned officer provides victim with UHDPS Crime Victim Liaison "Crime Victim Card" that contains follows up with victim who suffer required notice. physical injury. Page 1 of 2

9 Compliance Section: Department of Public Safety Responsible Person: Patrick Lollie/Richard Storemski Police Field Operations Brad Wigtil H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) Government Code Section Annual vehicle registration. Government Code Vehicle Use Reports (Mileage, Driver, Gasoline, Repairs) Texas Transportation Code Section Annual vehicle inspection. TX Code of Criminal Procedure, Articles Racial Profiling Requires collection of data on police officer traffic and pedestrian stops, review of video of officer's traffic stops and generating an annual report analyzing the data for possible racial profiling. (Before ) Complete for HH, HM, MH Before L L Departmental "Daily Gasoline and Division Commander transfers Mileage Report" filled out daily for all departmental data on to state form. vehicles used that date. M L Patrol Division Commander is Assistant Chief Commander responsible for annual vehicle inspects to insure compliance. registrations. M L Patrol Division Commander is Assistant Chief Commander responsible for annual vehicle inspects to insure compliance inspections. M L The data from the traffic tickets and field Patrol Division Commander insures interview cards are entered into the video review. Professional UHDPS RMS on a daily basis. Standards Commander compiles annual report. Page 2 of 2

10 Compliance Section: Department of Public Safety Responsible Person: Brad Wigtil Police Support Operations Brad Wigtil H Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control) M ium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our goal objective) L Impact (If the risk happens, we will be aware of it but it will have little or no effect upon operations or the achievement of the objective) H Probability (It will happen often) M ium probability (It is likely to happen but not often) L Probability (It is unlikely to happen at all) TCLEOSE Rule Responsibilities of Agency Chief Administrator Must report the arrest, charge or indictment of any employee appointed and reported to the Commission. TCLEOSE Rule Application for License and Initial Report of Emp. Agency must complete a background investigation to insure applicant meets all Commission standards for appointment as a peace officer or telecommunicator. TCLEOSE Rule Reporting Appointment & Termination of a Licensee Must report the appointment and termination of a licensee within required time frames on the proper Commission forms. (Before ) Complete for HH, HM, MH Before L L Division commander generates Assistant Chief monitors for correspondence in compliance with compliance. TCLEOSE Rule L L Division Commander insures that Chief of Police or designee reviews TCLEOSE standards for background documents and signs application for investigations are met. appointment. L L Division commander generates Chief of Police or designee reviews correspondence in compliance with documents and signs attendant TCLEOSE Rule Commission forms. Page 1 of 1